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Information Division
Ministry of Education, Youth and Information
1 Phoenix Ave, Kingston 10
Jamaica
© Crown Copyright 2018
You may re-use information contained in this publication provided that the proper acknowledgement is given to the the Ministry of Education, Youth and Information - Government of Jamaica.
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Preface
The Government of Jamaica Records and Information Management Policy (the Policy) was
approved by the Cabinet of Jamaica on July 9, 2018. This, in recognition of the importance of
providing a framework for the standardised management of information assets in the Public
Sector to, among other things, enable sound decision making and enhanced service delivery.
A Records and Information Management Programme has been designed by the Ministry of
Education, Youth and Information in collaboration with the Public Sector Transformation and
Modernisation (PSTM) Programme in the Cabinet Office, to capacitate the Public Service to
appropriately store, secure, preserve, access and share both its digital and physical official
records. To this end, the Jamaica Archives and Records Department (JARD) will be modernised
and transitioned to a National Archives, with resources to effectively serve as the regulator for
the records and information management activities of the government. In furtherance of
preserving our national and cultural identity, as well as leveraging Jamaica’s rich cultural assets,
JARD/the National Archives will also be positioned to increase its focus and abilities to secure
private collections of national significance for posterity.
As one of a number of PSTM initiatives under the Integrated Information and Communications
Technology (ICT) rubric, the Records and Information Management Programme is geared toward
enabling the Government of Jamaica to more effectively meet the information needs of its
citizens; maximise efficiencies; increase transparency and accountability in its operations; as well
as to contribute to the creation of a knowledge society, and overall, to Jamaica’s development
and prosperity. Accordingly, the National Archives will be digitised, and ICT governance systems
and architecture will be designed, acquired, deployed and maintained across all of government.
The Ministry of Education, Youth and Information, in keeping with the administration’s
commitment to human development and the alignment of mission to resources, articulates in the
Policy that there is a premium on having amply qualified RIM professionals across the enterprise,
and the Government also commits to providing adequate career structures within the profession,
over the phased period of implementation.
We are pleased to lead in this area of reform and on behalf of the Government of Jamaica, present
this Policy as a guide for all Records and Information Management Professionals and all public
officials in Ministries, Departments and Agencies, with respect to the management of their
holdings of official records and archives.
Senator the Honourable Ruel Reid, CD, JP
Minister of Education, Youth and Information
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Table of Contents
GLOSSARY ....................................................................................................................................... vii
Executive Summary ......................................................................................................................... 1
1.1 Purpose ............................................................................................................................ 5
1.2 Policy Context and Rationale ........................................................................................... 6
1.3 Situational Analysis .......................................................................................................... 9
2.0 POLICY FRAMEWORK......................................................................................................... 13
2.1 Vision Statement......................................................................................................... 13
2.2 Policy Goal ........................................................................................................................ 13
2.3 Overarching Policy Objectives .................................................................................... 13
2.4 Overarching Policy Outcomes ....................................................................................... 14
Policy Outcome 1: .................................................................................................................. 14
Policy Objectives: ................................................................................................................... 14
Policy Outcome 2: .................................................................................................................. 14
Policy Objectives: ................................................................................................................... 14
Policy Outcome 3: .................................................................................................................. 14
Policy Objectives: ................................................................................................................... 15
2.5 Policy Benefits .............................................................................................................. 15
2.6 Policy Scope ........................................................................................................................ 16
2.7 Policy Principles ............................................................................................................ 16
3.0 POLICY ISSUES, OBJECTIVES AND STATEMENTS ...................................................................... 18
3.1 Policy, Legislative and Regulatory Framework and Enforcement ............................ 18
3.1.1 Issues ..................................................................................................................... 18
3.1.2 olicy Objectives .................................................................................................. 20
3.1.3 Policy Strategies and Statements ......................................................................... 20
3.2 Organisational Structure & Human Resources for RIM (General) ................................ 21
3.2.1 Issues ............................................................................................................................ 21
3.2.2 Policy Objectives .................................................................................................... 22
3.2.3 Policy Strategies and Statements .......................................................................... 22
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3.3 REFORM OF JARD’S INSTITUTIONAL FRAMEWORK AND INFRASTRUCTURE ..................... 23
3.3.1 Issues ................................................................................................................... 23
3.3.2 Policy Objectives .................................................................................................... 25
3.3.3 Policy Strategies and Statements ............................................................................... 25
3.4 Acquisition, Access, Use and Preservation of Official Records and Archives ................ 26
3.4.1 Issues ..................................................................................................................... 26
3.4.2 Policy Objectives .................................................................................................... 28
3.4.3 Policy Strategies and Statements ...................................................................... 28
3.5 RIM Committees and other key supporting structures and mechanisms in MDAs .......... 29
3.5.1 Issues ..................................................................................................................... 29
3.5.2 Policy Objectives .................................................................................................... 30
3.5.3 Policy Strategies and Statements ................................................................................ 30
3.6 Creation, Capture and Registration of Records ............................................................ 31
3.6.1 Issues ..................................................................................................................... 31
3.6.2 Policy Objectives .................................................................................................... 32
3.6.3 Policy Strategies and Statements ................................................................................ 32
3.7 Classification and Indexing ............................................................................................ 33
3.7.1 Issues ................................................................................................................... 33
3.7.2 Policy Objectives .................................................................................................... 34
3.7.3 Policy Strategies and Statements .......................................................................... 35
3.8 Storage and Maintenance ............................................................................................. 36
3.8.1 Issues ..................................................................................................................... 36
3.8.2 Policy Objectives ................................................................................................. 37
3.8.3 Policy Statements and Strategies .......................................................................... 37
3.9 Security Access, Use and Tracking of Records ............................................................... 38
3.9.1 Issues ..................................................................................................................... 38
3.9.2 Policy Objectives .................................................................................................... 39
3.9.3 Policy Strategies and Statements .......................................................................... 39
3.10 Records Disposition ....................................................................................................... 40
3.10.1 Issues .................................................................................................................... 40
3.10.2 Policy Objectives .................................................................................................... 42
3.10.3 Policy Strategies and Statements .......................................................................... 42
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3.11 Email Management ....................................................................................................... 43
3.11.1 Issues ..................................................................................................................... 43
3.11.2 Policy Objectives .................................................................................................... 44
3.11.3 Policy Strategies and Statements .......................................................................... 44
3.12 Information Sharing ......................................................................................................... 45
3.12.1 Issues .................................................................................................................... 45
3.12.2 Policy Objectives .................................................................................................... 45
3.12.3 Policy Strategies and Statements .......................................................................... 45
3.12 ICT for RIM ............................................................................................................. 46
3.13.1 Issues ..................................................................................................................... 46
3.13.2 Policy Objectives .................................................................................................... 50
3.13.3 Policy Strategies and Statements .......................................................................... 50
4.0 POLICY IMPLEMENTATION ............................................................................................... 57
4.1 Approval and Implementation ..................................................................................... 57
4.2 Key Stakeholders and their Roles and Responsibilities ................................................. 57
4.2.1 Overall Responsibility ............................................................................................ 57
4.2.2 Responsibilities of the National Archives/JARD .................................................... 58
4.2.3 Institutional Responsibility .................................................................................... 58
4.2.4 Responsibility and Accountability of Individuals ................................................... 59
4.2.5 Responsibility of ICT Departments/Units .............................................................. 59
4.3 Policy Implementation Issues and Challenges .............................................................. 59
4.3.1 Capacity of the National Archives/JARD ................................................................ 59
4.3.2 Appreciation of Records Management ................................................................. 60
4.3.3 Adherence to Records Management System ........................................................ 60
4.3.4 Records Appraisal and Records Disposition .......................................................... 60
4.4 Existing Legal Framework .............................................................................................. 60
4.5 Linkages with Other Policies and Legislation ................................................................ 61
4.6 Monitoring and Evaluation ............................................................................................ 61
4.6.1 Commitment to Monitoring and Review .............................................................. 61
4.6.2 Monitoring Responsibilities of RIM Committees .................................................. 62
4.6.3 Directors of Documentation, Information and Access and Services (DDIAS) ....... 62
4.6.4 Internal and External Auditors .............................................................................. 62
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4.6.5 The National Archives/JARD Monitoring Function ................................................ 62
4.6.6 Cabinet Office Evaluation Function ........................................................................... 63
4.7 Policy Review ................................................................................................................. 63
5.0 CONSULTATION ................................................................................................................. 63
6.0 DEFINITIONS ..................................................................................................................... 64
ANNEXURE I (A) ............................................................................................................................. 69
GoJ RIM Policy Overarching Strategy and Implementation Plan (Extract)................................ 69
ANNEXURE I (B) ........................................................................................................................... 109
RIM ASSESSMENT Score Card .................................................................................................. 109
NOTATIONS: ........................................................................................................................ 109
ANNEXURE II ................................................................................................................................ 110
Consultation – List of Attendees ............................................................................................. 110
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GLOSSARY
ATI Access to Information
AAC Archives Advisory Committee
AV Audiovisual Records
AuGD Auditor General’s Department
CIO Chief Information Officer
DDIAS Director, Documentation, Information and Access Services
ECM Entrprise Content Management
e-RIM Electronic Records and Information Management
GoJ Government of Jamaica
G-RIM Government Records and Information Mangement Network
ICT Information Communications Technology
ISAD (G) General International Standard for Archival Description,
JARD Jamaica Archives and Records Department
MDAs Ministry, Departments and Agencies
MoEYI Ministry of Education, Youth and Information
NIDS National Identificaton System
OoC Office of the Cabinet
OPM Office of the Prime Minister
RIM Records and Information Management
PSTMD Public Sector Transformation and Modernisation Progamme
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Executive Summary
The Government of Jamaica (GoJ) Records and Information Management (RIM) Policy is an output of
the Records and Information Management Programme which is a component of the Integrated
Information and Communication Technologies ethos of the Public Sector Transformation and
Modernisation Programme (PSTMP). The primary purpose of the RIM Policy is to provide a framework
for the standardised management of official records in the GoJ and to ensure that all activities and
decisions of the GoJ are fully and accurately documented, managed and monitored in accordance
with the regulatory framework and the life cycle principles of records creation, maintenance, use and
disposal.
The Vision of the GoJ RIM Policy is for: “An integrated, standardised and secure RIM system which
facilitates access to Government information and archival material; preserves and leverages
Jamaica’s historical, information and cultural assets; as well as enables efficient service delivery,
enhanced decision making and overall attainment of national development goals.”
The goal of the RIM Policy (the Policy) is to contribute to modernising and transforming the Public
Service and the building of a knowledge society by:
managing, securing and making accessible, the records of the GoJ in an efficient, effective and
transparent manner, throughout their lifecycle; and
acquiring and preserving archival material.
The Policy has three overarching outcomes.
Policy Outcome 1: Accessible, efficient and effective service delivery that facilitates the citizenry; data sharing across MDAs; ease of doing business (local and international); research and attraction of investment. Policy Outcome 2: Increased transparency and accountability through the creation, processing, maintenance, use and disposition of records in conformity with local policies and standards and international good practice. Policy Outcome 3: Preserved national and cultural identity, leveraged cultural assets, informed
citizenry and the overall attainment of national developmental goals.
The benefits arising from the Policy include improved decision making; enhanced service delivery to
citizens, businesses and other Government entities; improved and integrated communication in
Government; reduced operating costs; compliance with the provisions of legislative and regulatory
frameworks underpinning records and information management; efficiency and effectiveness in the
management of public sector institutions; preservation of the national memory; monetised cultural
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assets; safeguarded vital information which is critical for business resumption/continuity in the event
of a disaster; and, an increase in qualified RIM practitioners in Jamaica and the Caribbean region.
The Policy applies to employees/public officials of MDAs (including municipal corporations and the
judiciary) relative to the management of official records and archives held by MDAs, regardless of
medium or format.
The Policy is guided by principles of accountability; integrity; protection of records; compliance with
legislation; availability of records and information; retention and disposal; Government-wide RIM
systems and transparency.
The Policy comprises five key result areas:
Policy, Legislative and Regulatory Frameworks
Organisational Structures and Human Resources for RIM
Reform of the Jamaica Archives and Records Department’s (JARD’s) Institutional Framework and
Infrastructure
RIM Systems
Capacitation of Key Stakeholders.
The fact of having outdated and fragmented policy, legislative and regulatory frameworks are key
issues. This is compounded by a lack of documented and standardised procedures for RIM and a lack
of compliance with and enforcement of, existing provisions.
The policy statements and strategies for the legislative and regulatory framework include a review
and consolidation of legislation governing RIM; preparation and submission of MDA specific RIM
policies and procedures; auditing of the RIM systems in Ministries, Departments and Agencies
(MDAs) by JARD and the Auditor General’s Department; preparation and submission by JARD to the
Ministry of Education, Youth and Information (MoEYI) and the Parliament of an Annual Report on the
state of RIM in the GoJ; and, sensitisation and implementation of MDA specific policies in support of
public sector modernisation.
Issues identified relative to organisational structures and human resources for RIM include the
inadequacy of provisions for RIM in MDAs’ organisational structures; limited pool of qualified RIM
professionals; lack of parity in posts across MDAs; and an inadequate career path. To overcome these
challenges, the policy provides that it should be mandatory for RIM staff to have RIM qualifications;
the Strategic Human Resource Management Division should review the career structures and
pathways for RIM; the RIM job functions should be streamlined; the position of Directors of
Documentation and Information and Access Services/RIM Managers should be no lower than the
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third tier; JARD should be restructured and should recruit and appoint staff with appropriate
qualifications and experience; and current JARD staff without experience should be sent on
attachments to MDAs.
The Policy recognises that JARD will play a critical role in its implementation and that at present JARD
faces a myriad of challenges including fragmentation of its operations, inadequacy of the institutional
framework, and inadequate infrastructure. To remedy these, the Policy proposes that JARD be
replaced by a modern National Archives (which will provide regulatory functions and services of
strategic benefit); the Archives Advisory Committee be reconfigured; an initial capital outlay be made
for the erection of a fit for purpose building for the National Archives and that a change management
and communication programme be instituted within JARD.
The Policy then deals with issues and strategies related to the following RIM systems:
Acquisition, access, use and preservation of official records and archives
RIM Committees and other key supporting structures and mechanisms in MDAs
Creation, capture and registration of records
Storage and maintenance
Security, use and tracking of records
Records disposition
Email management
Information sharing
Information Communications Technology (ICT) for RIM.
Key issues identified in the RIM systems include inadequate capacity of the Government Records
Centre to receive records from MDAs; under-resourced MDA RIM functions; disparate records
classification within and across MDAs; varying composition and functionality of RIM Committees in
MDAs; and the absence of RIM policies in most MDAs. Other noted issues include the breakdown in
registry procedures; weak security systems and controls; non-existence of records retention and
disposal schedules; subjective records appraisal practices in those MDAs that have retention
schedules; lack of clarity in how documents in Ministers’ offices should be treated; lack of procedures
for the management of e-mails; limited information sharing within and across MDAs; varied ICT RIM
capabilities amongst MDAs; silo implementation of RIM ICT systems; lack of records management
functionality in ICT systems; absence of RIM ICT policies and standards; inadequate internal
information security; and absence of the RIM ICT Architect function in MDAs.
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The Policy proposes several interventions to address the challenges facing RIM systems including
building the capacity of JARD/National Archives and providing resources for the RIM function in
MDAs; re-doubling efforts to acquire both public and private archives including audio visual archives;
as well as standardising the composition and functioning of MDA RIM Committees. Further, the
Policy prospoes implementing procedures for the capture and registration of paper and electronic
records; introducing Government-wide function based classification of records; aligning the retention
and disposal of records to the classification schemes; introducing appropriate systems to regulate
access to official records; and controlling the disposition of official records and making it mandatory
for MDAs to dispose of records within six months of the designated disposal date. Adopting the
CAPSTONE approach for the retention of e-mail records of senior officials; encouraging information
sharing within and across MDAs; encouraging standardisation of RIM ICT systems; mandating
JARD/National Archives to develop guidelines for records management functionality in ICT systems;
and, providing for the involvement of JARD/National Archives in the acquisition and development of
ICT systems are other strategies to be employed.
The Policy allocates responsibilities to various stakeholders. Overall responsibility for the Policy rests
with the Ministry of Education, Youth and Information. JARD/National Archives has responsibility for
the coordination and implementation of the Policy. Within the MDAs, overall responsibility lies with
the Accounting Officers through the RIM Committees while the Director, Documentation,
Information and Access Servies (DDIAS) has direct responsibility for the RIM Policy roll out in the
Ministry and its portfolio Departments and Agencies. Individual officers in the MDAs are responsible
and accountable for the records that they create, use or manage regardless of their level and on
leaving the MDA, are expected to handover their records. The ICT Departments have responsibility
for ensuring that the ICT systems have records management functionality.
A monitoring and evaluation framework is to be developed and put into place to facilitate the
monitoring of the Policy and monitoring responsibilities are assigned to various stakeholders
including JARD/National Archives, the MDA RIM Committees, DDIASs, internal and external auditors.
The Office of the Cabinet is expected to conduct periodic evaluations in line with the Public Sector
Transformation and Modernisation Programme.
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1. INTRODUCTION
1.1 Purpose The purpose of the Records and Information Management Policy (the Policy) is to provide a
framework for the standardised management of official records in the Government of Jamaica (GoJ)
and to ensure that all activities and decisions of the GoJ are fully and accurately documented,
managed and monitored in accordance with the regulatory framework and the life cycle principles of
records creation, maintenance, use and disposal.
This Policy promotes the accessibility and timely sharing of information within and across
government, while at the same time, protecting confidential information. It is also the objective of
the Policy, to enhance the performance of business activities, decision making and service delivery
by all government institutions, contribute towards the achievement of the National Development
Plan and support government’s obligation for transparency and accountability to its citizens and
other stakeholders.
The Policy seeks to increase adherence to existing records and archives legislation and to promote
the provision of the requisite infrastructure, as well as the provision of human and material resources,
for the effective and efficient management of the records and information assets of the GoJ.
While this Policy is primarily focused on the management of records and archives of the GoJ, the
Jamaica Archives and Records Department (JARD) has a responsibility to, among other things, acquire
and preserve records created by non-public sector entities which have informational and historical
value for the nation and as such, this Policy will also govern the preservation and management of
acquired archival holdings.
This Policy is based on and is aligned to the international records management standard ISO 154891.
The Policy however takes into cognition other related standards2 and the General International
Archival Descriptive Standard3 (ISAD (G)) 2nd edition.
1 ISO 15489-1:2016 - Information and documentation-Records Management 2ISO 14721: 2012 - Space data and information transfer systems - Open archival information system (OAIS) - Reference model
ISO/IEC 27002:2013 - Information technology - Security techniques - Code of practice for information security control ISO/TR 18492 - Long term preservation of electronic document - based information ISO 9001: 2015 - Quality Management System ISO 15836:2009 - Information and documentation - the Dublin Core metadata element set
3 ISAD(G) - The General International Standard for Archival Description, 2nd Edition
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1.2 Policy Context and Rationale
This Policy provides the framework for the management of records and archives within the context
of the Public Sector Transformation and Modernisation Programme (PSTMP), a programme
administered by the Office of the Cabinet (OoC), the principal objective of which is to address public
sector efficiency and ease of doing business. These are seen as critical in creating an enabling
environment for growth and development to take place in Jamaica
Currently, the Ministry of Education, Youth and Information (MoEYI), through JARD, is responsible
for the management of records and information of the GoJ. Under the Archives Act, 1983 (the Act),
the Archivist has responsibility for, among other things, the custody, preservation, arrangement,
repair and rehabilitation of official records as well as archival material and for facilitating the use of
the archives. Subject to advice provided by JARD, each Ministry, Department and Agency (MDA) has
responsibility for managing records in its care, custody and control until such time as the MDA
transfers the records to JARD.
JARD operates from three locations in Kingston and St. Catherine and among other things:
promotes the maintenance, storage, security and management of official records within
Government in accordance with best practice, and authorises the disposal of official records
which are no longer needed;
protects and preserves from concealment or distortion, official records; and
provides access to those records which have significantly affected the development of Jamaica,
the function of the Government and the lives and liberty of citizens.
The Act defines official records as “all papers, documents, records, registers, printed material, maps,
plans, drawings, photographs, microfilms, cinematograph films and sound recordings of any kind
whatever, officially received or produced by any public organisation for the conduct of its affairs or by any
officer or employee of a public organisation in the course of his official duties”.
In addition to the Act, the Access to Information Act, 2002 (the ATI Act) provides the core elements of the
GoJ’s framework for accessing official documents and as such has implications for records management.
The ATI regime is administered by the ATI Unit in the Office of the Prime Minister (OPM). While the ATI
Act does not specifically refer to the treatment of official records, the ATI Act grants to the public, a
general right of access to official documents held by public authorities, subject to specified exemptions.
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The ATI Act includes in the definition of document “… a document in writing, any map, plan, graph or
drawing, any photograph, any disc, tape, sound track or other device in which sounds or other data (not
being visual images) are embodied, whether electronically or otherwise, so as to be capable (with or
without the aid of some other equipment) of being reproduced therefrom; any film (including microfilm),
negative, tape or other device in which one or more visual images are embodied whether electronically
or otherwise, so as to be capable (with or without the aid of some other equipment) of being reproduced
therefrom”. The ATI Act further defines an official document as a document held by a public authority in
connection with its functions, whether or not it was created by that authority.
In keeping with the above-mentioned legislation, the GoJ has a legal obligation to effectively manage the
country’s records and information. It is therefore essential for the records and information held by GoJ
(both archived and current) to be accurate and accessible, to enable the GoJ to meet its obligations. It is
recognised however, that with increased volumes of information and multiple information formats,
existing systems cannot adequately support the effective management of information assets. Recognising
this, the GoJ has made a commitment to improve the management of records and information.
The OoC has collaborated with the MoEYI and JARD in a RIM Project which targets public sector wide
RIM reform, in keeping with the ethos and emphasis of the Government’s PSTMP, on accessibility, good
governance and transparency.
The PSTMP addresses the systemic issues that significantly affect public sector performance, and
identifies ways to embed systems and behaviours within Government which can sustain the capacity for
growth and efficiency. Improvement in the quality of government data and strengthened information
sharing across Government are also critical factors to be addressed in the modernisation programme,
the success of which is also seen as dependent on having sound RIM policies and practices. Accordingly,
the Public Sector Transformation and Modernisation’s Five Year Plan, 2014/2019 recognises RIM:
“…. as a first step in advancing the objectives of Government-wide data sharing, the Office of
the Cabinet is working with the Jamaica Archives and Records Department (JARD) and the
Office of the Prime Minister (OPM), which has the policy portfolio for Government Information
Management, to develop an Integrated Records and Information Management Policy for the
GoJ and provide necessary capacity for JARD to carry out its mandate.”4
The PSTMP is aligned to the National Development Plan and the activities being executed under the
programme have been prioritised, based on their potential impact on economic growth and their
4 The Public Sector and Modernization Programme, Five Year Plan 2014/2019, Office of the Cabinet, P 29. NB- The Policy Portfolio for Government Information Management now resides in the Ministry of Education, Youth and Information.
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contribution to increasing Jamaica’s standing in the Global Competitiveness and Doing Business
Indices.
The PSTMP views the robustness and security of an information management platform as being
important to the effective operation of Government and seeks to place focus on establishing the
proper architecture and governance systems, in addition to the use of agile and flexible technologies
that are reliable, cost effective, scalable and interoperable.
The development of a GoJ RIM Programme, is part of the Integrated Information and Communication
Technology component of PSTMP and the primary objective is:
“to develop an Integrated Records and Information Management Policy for the GoJ and provide
necessary digitising capacity to Jamaica Archives and Records Department (JARD) to ensure that
records and information collected, is stored and managed in a consistent manner across the
public sector to enhance accessibility of Government data and information for efficient service
delivery.”5
Other aspects of this component of the PSTMP include implementation of a:
framework for ICT governance;
Data and Information Sharing Policy;
National Identification System (NIDS); and
government-wide communications network, GovNET.
It is expected that improving records and information management of MDAs will ultimately improve
performance, enhance service delivery and promote openness and accountability. Further, it is
anticipated that the records transferred to JARD will provide a prism through which future
generations will understand and learn from the actions and decisions of Government.
5 Ibid, P.29.
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1.3 Situational Analysis
The GoJ has made a commitment to improve RIM and in the period 2013-2015, commissioned three
RIM related assessments.
Records and Information Management (RIM) Assessment Report of JARD (July/August 2013):
This assessment was undertaken in mid-2013 to assess the current operations and business
requirements that could be satisfied by an automated solution in support of JARD’s mandate. The
assessment reviewed JARD’s business processes and information management systems, identified
inefficiencies in the operations and captured the Information Communication Technology (ICT)
requirements for records and archives management.
Assessment of the Records Management Policies and Practices across the Civil Service (2014):
The second RIM assessment was done in 2014 and covered a sample of 37 MDAs. Site visits were
conducted at each MDA with meetings and interviews conducted, including focus group discussions.
RIM Policy Options and Recommendations Report (2015):
Taking into account the findings and recommendations of the RIM assessments conducted in 2013
and 2014, a situational analysis was prepared in 2015 leading to the development of a RIM Policy
Options and Recommendations Report. The Report included a detailed review of Jamaica’s RIM
legislation, informed by comparisons to legislation of other countries such as the United States of
America, United Kingdom, Australia, New Zealand, Botswana, Zimbabwe and South Africa. Further,
an examination of the findings of the RIM Assessment Report was carried out. RIM policies and
systems in MDAs were also perused, in conjunction with their organisational structures, physical
environment and infrastructure. A comprehensive review of JARD was also undertaken.
The RIM assessments as above, found that there were a number of major challenges facing records
and information management in JARD and the MDAs. To begin with, JARD’s oversight of records
management across MDAs, requires administering and interaction with multiple legislation, some of
which are outdated and do not cover developments in information technology. This, among other
things, has made it difficult for JARD to enforce compliance in the MDAs, what with JARD’s limited
resources and MDAs lack of awareness of RIM requirements and importance, as well as inadequate
means.
RIM policies and practices in MDAs were found to be varied, with only some entities being at an
advanced stage. Overall, JARD and most MDAs were found to be in need of focused interventions to
operate satisfactorily in the first instance and ultimately, optimally.
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Most MDAs and JARD itself, do not have sufficient staff to undertake the full range of RIM activities,
and many of the staff, including those in supervisory positions, do not have the requisite training and
qualifications in RIM. The weaknesses found in JARD has a multiplied effect in that, gaps in JARD’s
capacity, not only impacts the local operation of JARD, but impairs its ability to execute its mandate
relative to supporting the RIM systems in MDAs.
Other challenges identified as affecting most MDAs include the observation that whereas RIM
Committees have been constituted in most MDAs and staff appointed to head the RIM function, the
effective functioning of these Committees are invariably negatively affected by the fact that meetings
are not regularly convened and the composition of the Committees were not sufficiently represented
and did not benefit in all cases, from legally qualified officers. Unsatisfactorily, a significant number
of MDAs are operating without written procedures for the management of records and information.
The 2014 RIM Assessment reported that 58.33% of the MDAs surveyed, did not have written
procedures for physical records while 86.11%, did not have documented procedures for electronic
records.
Additionally, a number of different classification schemes are being used by MDAs, with varying
degrees of filing accuracy and records retrieval. Electronic records in particular are not being filed in
keeping with any documented guidelines or classification schemes and consequently, electronic
records management is a function of individual officers’ own preferences and practices.
It was also found that while most MDAs operate with centralised registry systems, most of them are
grappling with the emergence and existence of unauthorised and (in some cases unrecognised) mini
registries at department/unit/office levels, some of which are holding significant amounts of records,
as these are generated, kept and used by individual officers without reference to the registries and
documentation centres. As a result, entities are not fully aware of all the records and information
that they have. This suggests that decision making does not consistently have the benefit of
consideration of all the relevant information held by the organisation, as the existence of all pertinent
records may not be known to critical players.
Records appraisal and disposition also pose major challenges. While the Records Management
Handbook (which had been issued by JARD in 1981) provides a valuable platform for the appraisal,
retention and disposal of records, and the Archives Act provides for an Archives Advisory Committee
(AAC), major challenges are being experienced in the AAC’s ability to effectively execute its mandate
as set out in the Archives Act, to review and approve all records retention schedules.
The RIM Assessment conducted in 2014, shows that most MDAs are carrying large quantities of
records which have not been appraised, and where they have been appraised, the retention periods
have been exceeded without disposal taking place. This puts significant pressure on the MDAs to find
storage space for the records and on JARD, which receives requests to accept and store records
which no longer have administrative, historical or archival value. Extra space has had to be sought by
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both JARD and MDAs at additional cost, and in the case of some entities, trailers have been acquired
and retrofitted with air conditioners to store some of these records. It was also observed that
inappropriate storage of records, account for the deterioration of some of government’s information
assets. Overall, the environmental controls for records were assessed as being inadequate in JARD
and most MDAs.
In terms of the ICT environment in JARD and the MDAs, organisations are at varied stages of ICT
capability with systems that range from small installations to large and complex ones. Among the
several challenges experienced with ICT is the deficit of RIM ICT skills in JARD and the MDAs; a lack
of business continuity and disaster recovery planning; and inadequate provisions for the
management of perimeter and internal information security.
There is also a need to harmonise and rationalise the adoption and implementation of ICT solutions
so that the resultant ICT generated records will be standardised. This would among other things,
facilitate archiving by JARD, without the acquisition and maintenance of multiple technology
platforms or need for more physical space.
JARD has not traditionally been recognised as a key partner in influencing, as a matter of course, the
various phases of establishing RIM ICT architecture or in the articulation of RIM requirements. At the
local level, RIM managers in MDAs are not included in processes designed to establish or procure ICT
systems.
Overall therefore, records and information management in the GoJ will have to undergo significant
and sustainable reform. There are however, a number of existing mechanisms and positive
developments which may be used as stepping stones in reforming the RIM systems in the GoJ.
As an example, Jamaica has taken major steps to base its RIM systems on established international
standards and as early as 2005, undertook consultations at the national level, to adopt usage of the
ISO 15489 standard. This national commitment to the use of the international standard was evident
in the ISO 15489 based RIM procedures which are being used in some of the MDAs. JARD, for its
archival collections, also uses the General International Standard for Archival Description, ISAD (G).
A Government Records and Information Management (G-RIM) network over the last twelve years,
provides a useful platform for bringing together RIM stakeholders in the GoJ and for spearheading
activities which augur well for the development of a new and effective records and information
management paradigm in the GoJ.
A Steering Committee was established in March 2013 to provide oversight for the RIM Project and
comprised policy, ICT and RIM practitioners across MDAs.
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Further, as previously mentioned, ICT transformation initiatives are among the suite of projects with
national impact which are supported by the OoC to strengthen the GoJ’s ability to deliver efficient and
effective public goods and services and is an important complement to the RIM Project.6 The OoC
highlights that a Conceptual Framework, Methodology and Action Plan (vis the Inception report of the
Chief Information Officer (CIO) who was appointed in 2015) sets out the timelines, milestones and
deliverables that need to be achieved to transform the Public Sector by increasing its capacity to make
full use of ICT within the next five years. The report was done in consultation with e-Gov Jamaica
Limited, the government's ICT services Agency.
The work being undertaken will be supported by co-opted ICT professionals drawn from the cadre of
more than 700 ICT related officers of the Public Sector (including from JARD) to participate in working
groups that will help to guide people, processes, policies and technologies for Jamaica's future ICT
needs.
The Inception Report includes an initial set of strategic outcomes that will result from the
transformation process including:
• an ICT Governance Framework that will guide priority setting for ICT projects and programmes
and their alignment with Vision 2030;
initiation of the GoJ Portal for a knowledge-based society, providing e-Government online
services to citizens and businesses;
development of an Open Data Policy to make GoJ data open and accessible;
a recommended concept for Unified Communication for GoJ for both voice and data
communication (referred to as GovNET and GovTALK) ready for design and implementation;
initiation of the Enterprise Architecture for Security, Data, Applications and Technology along
with the development of the associated ICT Standards, Procedures & guidelines;
a recommended Shared Services Framework developed with emphasis on data centre
operations and consolidation, hosting and cloud services; and
a recommended Disaster Recovery Strategy for Business Continuity.
It is apparent that the GoJ’s bid to better serve its citizenry and meet the expectations of modern
society, will be far advanced with the successful roll out of comprehensive initiatives and policies
including: the Data Collection and Information Sharing Policy; NIDS programme; infrastructure
6http://www.cabinet.gov.jm/areas_responsibility/public_sector_transformation_and_modernisation/integrated_information_and_comm_5
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projects such as the GovNet and an overarching ICT Governance framework
programme, all of which are underpinned by RIM.
2.0 POLICY FRAMEWORK
2.1 Vision Statement
An integrated, standardised, and secure RIM system, which facilitates access to Government
information and archival material; preserves and leverages Jamaica’s historical, information and
cultural assets; as well as enables efficient service delivery, enhanced decision making and overall
attainment of national developmental goals.
2.2 Policy Goal
To contribute to modernising and transforming the public service and the building of a knowledge
society by:
managing, securing and making accessible, the records of the GoJ in an efficient, effective and
transparent manner, throughout their lifecycle; and
acquiring and preserving archival material.
2.3 Overarching Policy Objectives
The Policy aims to provide a framework for:
the establishment of a government-wide RIM programme with coordinated policies,
procedures, systems and personnel for the purpose of managing official records;
all official records of government and its institutions, which are secure and protected against
both internal and external threats in a manner commensurate with their value and use;
all official records, regardless of the format or medium, to govern their creation, processing,
maintenance, use and their disposition as well as to promote efficiency and effectiveness in
service delivery and contribute towards accountability and transparency in government;
the establshment of a modern National Archives which, among other things, will monitor and
regulate compliance with the provisions of the the governing policies and legislation, as well as
to provide services assessed as being of strategic benefit to the nation (to widen access to private
and public collections and generate income for the National Archives); and
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the generation and maintenance of electronic/digital and other technology-dependent
records, in a manner that guarantees their authenticity, accessibility and usability for as
long as they are required.
2.4 Overarching Policy Outcomes
Policy Outcome 1:
Accessible, efficient and effective service delivery that facilitates the citizenry; data sharing across MDAs; ease of doing business (local and international); research and attraction of investment.
Policy Objectives:
The Policy aims to, in keeping with the GoJ’s RIM Implementation Schedule have:
80% of MDAs reflecting a reduction in time for retrieval of records integral to service delivery;
80% of MDAs providing access to information in keeping with legislative timelines; and
100% increase in the number of requests for paper, electronic and audiovisual archival material.
Policy Outcome 2:
Increased transparency and accountability through the creation, processing, maintenance, use and disposition of records in conformity with local policies and standards and international good practice.
Policy Objectives:
The Policy aims to, in keeping with the implementation strategy:
increase the number of MDAs in compliance with the RIM Policy as well as records and archives legislation through effective enforcement;7 and
increase the number of MDAs compliant with the legislative timelines set for providing access to information to 80 - 100%.
Policy Outcome 3:
Preserved national and cultural identity, leveraged cultural assets, informed citizenry and the
overall attainment of national developmental goals.
7 This objective will also contribute to the attainment of Policy Outcome 3
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Policy Objectives:
The Policy aims to, in keeping with the Implementation Schedule:
increase by 5% annually, the acquisition of non-government records of national importance;
convert 25% of archival collections to a digitised format for ease of access and revenue generation; and
80% of MDAs meet the requirements for preservation.
2.5 Policy Benefits
This Policy is also intended to provide the following benefits to the GoJ:
improved decision making where decision makers have the information they need when they
need it;
enhanced service delivery to citizens, businesses and other Government entities through greater
responsiveness and delivery of requested services and reduced waiting times owing to readily
available information;
improved and integrated communication within and between Government institutions;
reduced operating costs through the efficient and effective management of space, equipment
and technology and through the application of records disposition procedures;
increased compliance with the provisions of legislative and regulatory frameworks underpinning
records and information management as well as legislation under which various public sector
institutions operate;
protection and support for the government through the management of risks associated with
the existence or non-existence of evidence during litigation;
efficiency and effectiveness in the management of public sector institutions through improved
arrangement and storage of records, improved turn-around times and protection of confidential
official information;
assimilation of new records management technologies to leverage efficiency, economy and
effectiveness and an e-governance framework in the GoJ;
preservation of the national memory through documenting and preserving records and archives
with historical value to the nation;
monetised cultural assets;
safeguarded vital information which is critical for business resumption/continuity in the event
of a disaster; and
increase in qualified RIM practitioners in Jamaica and the Caribbean region.
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2.6 Policy Scope
This Policy applies to employees/public officials of MDAs (including municipal corporations and the
judiciary) relative to the management of official records and archives held by MDAs, regardless of
medium or format. The policy also provides for the acquisition of private collections/archives of
national value.
The Policy covers:
the minimum requirements that must be met for the records created and/or received to be
considered as authentic records of the business activities they represent;
the scope of the systems, processes, infrastructure and resources required to ensure the
capture, integrity, security, retrievability and usability of records;
responsibilities for RIM at all levels; and
provision for the review of the RIM Policy at regular intervals.
2.7 Policy Principles
The management of RIM across the Public Sector shall be guided by the following principles:
Accountability: All MDAs of the GoJ shall be held accountable for the proper management of
their records and information and shall appoint a senior officer to oversee the RIM system.
Integrity: The institutions shall, for purposes of operationalising this policy, establish, adopt and
maintain adequate records management policies and procedures to guarantee the integrity,
authenticity and reliability of all official records whilst fostering efficiency and effectiveness in
public service delivery.
Protection of Records: Security classification shall be used to control access to public records;
all users of official records shall accord them appropriate care, confidentiality and protection in
order to safeguard their value as records whilst not violating legal or other requirements of
privacy or confidentiality.
Compliance: All MDAs shall create, capture, manage, use and dispose of records in accordance
with this policy and in keeping with all other legislation governing or having implications for
record keeping as may be promulgated from time to time by the GoJ.
Availability: All records and information of the GoJ shall be maintained in a manner that
facilitates their timely and efficient retrieval and usage.
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Retention and Disposition: All records and information of the GoJ shall be kept and maintained
in accordance with applicable records retention/disposal schedules and shall be disposed of or
transferred to the national archival depository as soon as they have served their operational
purpose.
Government-wide RIM Systems: Development of RIM systems used across MDAs shall be
preferred over the development of similar or duplicative systems which are only provided to a
particular MDA. Similarly, technological diversity shall be controlled to minimise the non-trivial
cost of maintaining expertise in and connectivity between multiple processing environments
across MDAs.
Transparency: An organisation’s business processes and activities including its information
governance programme shall be documented in an open and verifiable manner and that
documentation shall be available to all personnel, appropriate interested parties and the
public at large.
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3.0 POLICY ISSUES, OBJECTIVES AND STATEMENTS
3.1 Policy, Legislative and Regulatory Framework and Enforcement
3.1.1 Issues
o Fragmented and Outdated Legislative & Regulatory Frameworks
The records and archives of the GoJ are governed by multiple legislation, a significant number of
which are outdated including the Archives Act (the Act), 1984, Archives (Official Records)
Regulations,1988 and the Record Office Act, 1879. There are also inadequate provisions for the
management of electronic and digital records and archives in the Archives Act, 1984 and the fees
(such as reproduction fees) charged are not sufficient, and sanctions for non-compliance are very
low and do not serve as deterrents.
The RIM Assessment Report of 2014 notes:
“the Archives Act (1982) and Regulations (1984) need significant amendments. These range from simple
definitions (in keeping with modern terms and the infusion of technology), improved fees and fines, to
greater precision with respect to the powers of the Government Archivist and JARD’s role in managing and
giving oversight to electronic data.”
o Lack of documented and standardised policies and procedures for RIM
There is no overarching RIM Policy for the GoJ and many MDAs do not have policies specific to their organisiation. The RIM Assessment Report, 2014, showed that a significant number of MDAs (58.33%) did not have written procedures for physical records and that an even greater number (86.11%) did not have written procedures for electronic records. This resulted in varying RIM practices within entities and across the GOJ, personalised filing, limited information sharing, and a lack of institutional memory to support business continuity. For instance, the Report, showed that of the assessed organisations, none of the RIM managers could estimate the volume or categories of records that exist within their respective MDAs. Of note is that 88.89% of the entities surveyed did not have vital records inventories.
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o Lack of Compliance with and Enforcement of Existing Provisions
The fact of a fragmented and an outdated framework have made MDAs, apathetic to knowing and
adhering to the various requirements, and the oversight function of JARD (with respect to overseeing
the management of the records of all MDAs) complex and challenging. The assessment highlighted
that whilst there were weaknesses in the legislative framework, there are a number of provisions
which should have been consistently utilised to strengthen RIM systems of the MDAs, for instance:
Section 7 of the Act which provides for the Archivist to examine official records of public
organisations and to advise as to their care, custody and control; and
key provisions of the Archives (Official Records) Regulations, 1988 including the
following Regulations:
3. (1) The Records Officer, acting in accordance with the advice of the Archivist, shall establish
and maintain a system for the proper care and control of official records within his custody
and for this purpose the Archivist may issue guidelines to be followed from time to time.
(2). The system established shall-
(a) make provision for the standards, procedures and techniques to be applied for the
management of official records;
(b) promote the maintenance, storage and security of official records selected for
preservation as archives until these are transferred to the Archives;
(c) facilitate the categorization and segregation of official records; and
(d) provide a programme for the disposition of official records including their transfer to
the Jamaica Archives, or such other place under the charge and control of the Archivist.
4. The Records Officer shall establish safeguards against the unlawful removal or loss of official
records within his custody.
5. No official record shall be disposed of without the prior approval of the Committee.(i.e the
Archives Advisory Committee).
9. (1) The Records Officer shall prepare and keep up to date, under the guidance of the Archivist,
an inventory of official records in its custody.
(2) On the basis of this inventory, the Records Officer shall compile schedules of these records
showing, in the form approved by the Archivist, their retention periods.
(3) These schedules shall be submitted to the Archivist for the approval of the Committee.
(4) The Records Officer shall compile an annual summary of official records in its custody for
submission to the Archivist no later than the 31st March each year.
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3.1.2 Policy Objectives
1. To support the review, consolidation and update of legislation governing records in the medium
term, as well as to effectively enforce overarching and MDA specific RIM requirements.
2. To ensure that all MDAs have detailed (MDA specific) RIM policies and procedures which are
aligned to the GoJ RIM Policy and Procedures.
3.1.3 Policy Strategies and Statements
In keeping with the stated objectives, the Government will require the:
preparation and submission (for approval by the Permanent Secretary or Head of
Department/Agency) of MDA specific RIM Policies and Procedures Manuals which will have
been prepared in consultation with the Archivist and aligned to, among other things, the
organisational planning framework and results chain as well as the GoJ RIM Policy and
Procedures. MDA specific RIM Policy and Procedures Manuals shall preferably be separate
documents and shall be revised at least once every five years;
sensitisation and implementation of overarching and MDA specific RIM policies in support of public sector modernisation objectives;
adherence, by all MDAs, to existing legislative requirements, particularly the key provisions identified in paragraph 3.1.1 of this Policy and any other from time to time which may exit;
review and consolidation of governing RIM legislation in the medium term, with a view to overcoming legislative weaknesses and providing a modern framework for RIM;
auditing of RIM systems of all MDAs, for efficiency and effectiveness by the Archivist and/or the Auditor General’s Department at least once every two years;
preparation and submission of an Annual Report on the state of records in MDAs, by JARD, to the MoEYI and the Parliament; and
establishment of an effective system for the monitoring of RIM in MDAs and the institution of rewards and recognition schemes as well as the application of appropriate sanctions.
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Issues
3.2 Organisational Structure& Human Resources for RIM (General)
3.2.1
The deployment of trained RIM staff is a fundamental requirement of ISO 15489-1:2016 and should be supported by: (a) appropriate organisational structures (b) the availability of appropriately trained staff (c) appointment procedures that make records and archives qualifications mandatory and (d) a scheme of service or career paths that encourages the staff so appointed, to progress through the ranks. o Inadequacy of provision for RIM in Organisational Structures in MDAs
The provision for the RIM function (across MDAs) are assessed as being generally inadequate, both in terms of the number of posts provided for on the organisational structure and levels (in terms of seniority) for the DDIAS and supporting staff. o Limited pool of qualified RIM Professionals
In MDAs, the introduction of a combined library and records management function and creation of the posts of DDIAS, has significantly raised the profile of records management in Government entities and has been a very positive development. However, the combining of the library and archives functions, has served to blur the dividing line between the two professions especially in relation to the skills set required for the records management function. As shown by the RIM Assessment of 2014, a large number of the heads of the RIM function in MDAs had a library background, while a sizeable number did not have a records and information management background at all. The RIM function in JARD and the MDAs is also faced with inadequate human resources and all staff do not possess the requisite skills to satisfactorily provide services and uphold RIM standards. Ministries were also assessed as not having the capacity to provide adequate oversight to the RIM systems of Departments and Agencies in support of this element of the modernisation programme. JARD itself urgently needs support to upgrade the technical capacities of its staff as well as short, medium and long term strategies to bridge the human resources and skills gaps which exist.
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o Lack of Parity in Posts across MDAs and Inadequate Career Path
Officers carrying out similar functions across MDAs are not uniformly compensated; the need has therefore been signaled to review and possibly re-classify posts. Job Descriptions do not adequately reflect the competencies required for optimal service within the RIM and Archives functions, nor the work volume and complexity of managing the electronic and physical records. The assessment found that there was insufficient room to transition from the Public Information and Documentation Group series, to the Archives Series as desirable, to provide a clear career path within the RIM Profession. It is also recognised that there is insufficient local opportunities for both general and specialised training.
3.2.2 Policy Objectives
1. To provide MDAs and JARD with the structures and human resources needed to discharge its
functions and mandate. 2. To improve RIM practices in the GoJ through the training and capacity building of records
management staff. 3. To ensure that the DDIAS/ heads of RIM in MDAs have adequate qualifications and experience
in RIM. 4. To provide equitable conditions of service for RIM staff in MDAs and JARD, as well as to make
provision for career pathways that will facilitate career progression and staff retention. 5. To employ appropriate strategies for RIM capacity building within the GoJ.
3.2.3 Policy Strategies and Statements
It shall be mandatory for RIM staff, including heads of RIM, to have formal qualifications in records and information management on recruitment and if already appointed, such qualifications are to be obtained within a designated timeframe.
The Strategic Human Resource Management Division of the GoJ will review and make adequate provision for career structures/ pathways, that provide entry levels into the records and archives profession within MDAs and for progression through the ranks to higher positions, as competencies, volume and complexity dictates.
The RIM job functions in MDAs, including DDIAS positions, shall be streamlined in terms of job classification and pay scales and any existing anomalies, are to be addressed to ensure occupiers of RIM related posts are in fact executing the appropriate functions (i.e. adjustments are to be made in keeping with classification standards).
The position of DDIAS (or its equivalent) shall be no lower than the third tier in the organisational structure.
Efficiency and effectiveness audits will be conducted in each institution to determine the number of staff required.
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RIM Committees are to be activated to serve MDAs.
JARD/National Archves, as both a RIM service provider and regulator with respect to MDAs, shall recruit and appoint employees at the professional level, who have records and/or archives qualifications and the appropriate years of experience in records, archives and library management.
JARD/National Archives shall be restructured and posts re-classified so that it can discharge its mandate as both a service provider and regulator for MDAs.
JARD/National Archives shall systematically engage with stakeholders to provide training and
capacity building for RIM.
JARD/National Archives shall engage the Strategic Human Resource Management Division to
conduct periodic training needs assessments for RIM across the GoJ. It will be necessary for
current JARD Records Officers without registry experience to be attached to registries to gain an
appreciation of the actual systems in use and the relationship of the registries/documentation
centres with the users.
Efforts shall be made to ensure that the RIM enterprise has the resources and skills for the
management of large volumes of digital records by either acquiring those critical skills or training
existing internal resources to meet the requirements through a well-defined RIM/ICT learning
programme.
3.3 REFORM OF JARD’S INSTITUTIONAL FRAMEWORK AND INFRASTRUCTURE
The modernisation of the operations of JARD prompted an examination of its organisational structure and infrastructure. The results showed that JARD is not appropriately organised to respond to the expectations of MDAs and provide the services of a modern Archives. The modern construct, should make provision for integrated operation among the various Units and include provision for functional and operational areas such as legal affairs, corporate affairs, strategic planning, logistics as well as outreach and public education.
3.3.1 Issues
o Fragmentation of JARD’s Operations
The segmentation of JARD into three units comprising the Government Records Centre, the Jamaica Archives Unit and the Audiovisual Unit promotes focused attention to the discrete areas of service delivery. It allows each Unit to develop specialised skills; however the location of these Units at three separate sites creates challenges, especially as it relates to the transfer of records from the MDAs to the Government Records Centre, with none being transferred to the Archives
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Unit for as long as sixty years. A range of other issues also arise relative to logistics; the tendency for the Units to operate as silos; a lessening of synergies between functional and operational areas; difficulty in the delivery of shared services; and in general cost inefficiencies.
o Inadequacy of JARD’s Institutional Framework
JARD is not structured to optimally perform their current core responsibilities and functions, specifically with respect to the:
acquisition, preservation (including digitisation) and provision of access to paper based and audio visual records and archives;
regulation of MDAs (through the establishment of RIM standards and guidelines, as well as the monitoring and audit of MDAs’ RIM practices);
provision of records management training for MDAs; and
provision of administrative and technical support (to include legal support and facilities management) to the Archives Advisory Committee.
JARD is also not sufficiently resourced and organised to satisfactorily meet the demands of a modern national archives; or to provide services assessed as being of strategic benefit, to widen access and generate income, such as: 1. proactive acquisition of archival material held privately (locally and internationally); 2. structured access to and reproduction of rights cleared audio visual material; 3. online access to JARD’s products and services; 4. marketing of archival products and services offered by JARD (e.g RIM training, digitisation and
restoration services); 5. public education with respect to the significance of the archival holdings of JARD; and 6. adequate research support. The evidence suggests that in order to transition to a modern national archives, the following issues need to be addressed when the institutional structure of the national archives is being designed: 1. the inadequate and outdated organisational structure; this is not in keeping with good practices
and current trends in archives and records management; 2. inadequate structures to facilitate service delivery and the limited access modes; 3. designation and authority of JARD to facilitate commercial exploitation of the archives and the
build out of revenue generating services ; 4. outdated ICT infrastructure (software, hardware and networks); and 5. inadequate governance framework.
The institutional governance arrangements at JARD have been signaled as inadequate. For instance, the Archives Advisory Committee (AAC) has responsibility for, among other things, the approval of retention
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schedules and disposition of records. The work of the AAC is however hindered by ad hoc or no meetings being convened for extended periods, occasioned by a lack of Secretariat support, that JARD should be resourced to provide. Further, the composition of the AAC is outdated and no longer serves the purpose for which it was created, nor the needs of a modern society. Designated positions for membership on the AAC, no longer exist and in some instances the required expertise (e.g audiovisual and IT) for effective functioning of the AAC are not accommodated in the current composition. These deficiencies have had a deleterious effect on how records and information are managed across the GoJ.
o Inadequacy of JARD’s Infrastructure
The Audio Visual Archives; Government Records Centre and Jamaica Archives Unit plants are all severely constrained by space. Further, the buildings are aged, not fit for purpose and in addition, they are located in highly populous areas of Jamaica, which increases the risk of exposure to pollution and in the case of the Governmnet Records Centre, the proximity to the sea presents an additional risk to the preservation of records. As configured and equipped, stable environmental controls are not guaranteed. In addition, as previously mentioned, having three separate offices militates against integrating the operations of JARD and effectively providing shared corporate services, as is desirable to realise efficiencies.
3.3.2 Policy Objectives
1. To create the institutional framework for the establishment of a modern national archives. 2. To reorganise the governance framework to support the strategic and operational functions of
a national archives. 3. To satisfactorily upgrade JARD’s infrastructure in the short term and provide new infrastructure
for a modern national archives in a consolidated location.
3.3.3 Policy Strategies and Statements
The GoJ shall:
establish a National Archives, through the modernisation/reconfiguration of JARD to be an independent body, empowered to earn income independent of the public purse;
develop and implement a Change Management and Communication Programme within the National Archives/JARD;
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reconfigure the Archives Advisory Committee which will update and advise the Minister on matters of a technical nature relating to official records and access as well as major strategic policies related to RIM (such as disposition of official records);
designate and resource National Archives /JARD as the Secretariat for the reconfigured Archives Advisory Committee; and
provide funding for the establishment of a building for a modern National Archives over the medium term (2018-2025) and formulate a Road Map for implementation consistent with a Business Plan.
3.4 Acquisition, Access, Use and Preservation of Official Records and Archives
3.4.1 Issues
o Stymied acquisition efforts due to limitations of space and human resources of the Government
Record Centre and related (operational) challenge.
The primary source of records and archives for JARD are the MDAs whose records are acquired
through the Government Records Centre. The task for the Government Records Centre is, however,
overwhelming, given the restricted facilities at its disposal, the disproportionate ratio of Analysts to
the number of MDAs ,and the shortage of skilled and experienced Analysts among its staff. Without
sufficient space and staff (both in terms of numbers as well as enhanced skills/experience), it will be
very difficult for the Government Records Centre to fully underpin an acquisition policy for JARD.
o Lack of notice to the Government Record Centre of closure or transfer of an entity for purposes of
records acquisition
Operationally, the Government Record Centre is also negatively affected by a lack of notice from public institutions of the closure or transfer of the entity. This results in the records of closed or transferred entities, being left at the original site, unattended and perhaps unsecured.
o Restricted growth of Audio Visual material acquired, post initial acquisition of the Jamaica
Broadcasting Corporation Audio Visual Collection
The acquisition of audio visual materials has partly been affected by the origins of the Audio Visual
Unit of JARD. Established as a result of the divestment of the former Jamaica Broadcasting
Corporation (JBC) by the GoJ, the holdings of the Audio Visual Unit of JARD consist primarily of the
audio-visual materials of the now defunct JBC, with very little material from other Government
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entities. There is need to re-double efforts to acquire the audio-visual archival records generated by
MDAs as well as by other entities in society.
o Leveraging of Archival Material negatively affected by technological challenges for Archival
Description
While the Archives Unit of JARD continues to provide much needed services to researchers and the public, technological challenges have slowed service delivery in this area. Overcoming ICT challenges is a critical success factor also, for the establishment of online purchase facilities so that copies of archival materials may be availed and for the increase of JARD’S revenue base.
o Disparate Classification Schemes
The previously mentioned silo operation of JARD’s three Units has led to various systems of classification (e.g numeric and alpha numeric classifications). o Incomplete Indices and Catalogues
In the Audio Visual Archives, the process of completing the catalogue of Audio Visual works has been negatively affected by limited access to Umatic machines needed to view the tapes of the JBC Collection. The pace of completing the attendant rights inventory has also been constrained by these factors. o Current location of the Audio Visual Archives is unsuitable to provide access and preserve Audio
Visual records and archives
The preservation and accessibility of audiovisual records and archives, is predicated on the availability
of suitable premises (in terms of space and lay out) as well as facilities for the preservation of the
records and archives. These conditions are currently far from being satisfied.
o Legislative restriction on Access to Archives
The Act provides that official records in the Jamaica Archives shall not be available for public examination until they have been in existence for thirty years, or such longer or shorter period as the Committee, with the approval of the Minister may specify as respects any particular class of official records of any individual official record8. In the interest of providing access and consistent with
8 Section 10 of the Archives Act, 1983
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provisions of the Act and some of the freedom of information regimes in other jurisdictions, a twenty year period of non-disclosure should be considered.
3.4.2 Policy Objectives
1. To acquire and preserve records of national importance, including public and private records, as
well as audio-visual and electronic records.
2. To catalogue the public and private archives and provide for authorised public use.
3. To institute a system for the treatment of records upon the closure or transfer of the entity.
4. To promote the leveraging of ICT to enable exploitation of Jamaica’s archives.
5. To promote a uniform and integrated classification system at JARD.
6. To promote the review of the non-disclosure provisions of the Act
3.4.3 Policy Strategies and Statements
The National Archives/JARD shall:
re-double efforts to acquire both public and private archives (including audio visual archives),
and process, preserve and make them available for public use;
prioritise the acquisition of MDA audio-visual records from MDAs over the next five years;
ensure that the public and private archives are preserved, protected and secured (in keeping
with international standards) against any potential hazards or threats, capable of damaging,
manipulating or altering their structure or content, and that such preservation shall safeguard
the integrity of the archives;
develop and implement a public education campaign to encourage non-MDAs as well as citizens
and other individuals to deposit records that have national significance and historical value. Each
year, at least 5% of archives accessioned shall be from non-Government sources;
require Public Sector institutions which are to be transferred or are due to be closed, to give
reasonable notice to the National Archives/JARD of the records or archives being submitted to
JARD, in advance of closure or transfer of the entity (i.e three months notice, or where this is
not feasible, as soon as practicable after the decision to close or transfer the entity is taken ) so
that there may be a planned and systematic transfer and accommodation of these records or
archives;
develop and implement strategies to encourage use of the archives by the Jamaican public,
researchers, as well as regional and international clients; and
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utilise appropriate technologies, for the preservation of digital records to ensure long-term
accessibility and availability and identify new strategies/build on the existing strategies (e.g to
partner with international bodies) to increase capacity in this regard.
3.5 RIM Committees and other key supporting structures and mechanisms in MDAs According to ISO 15489-1:2016, records management responsibility and authorities should be defined, assigned and promulgated throughout the organisation so that, where a specific need to create and capture records is identified, it should be clear who is responsible for taking the necessary action. These responsibilities should be assigned to all employees of the organisation, including records managers, allied information professionals, executives, business unit managers, systems administrators and others who create records as part of their work and should be reflected in job descriptions and similar statements. Specific leadership responsibility and accountability for RIM should be assigned to a person with appropriate authority within the organisation.
3.5.1 Issues
o Undefined minimum requirements for composition and responsibilities of RIM Committees
Centrally, RIM Committees ought to serve as MDAs’ internal mechanism for achieving and maintaining full compliance with RIM policies, procedures and standards. RIM Committees should be the point of internal policy and procedure development and should be positioned to give advice with respect to issues concerning the management of the MDAs records; mechanisms for training and sensitisation of RIM requirements and in general, monitoring the RIM programme of the entity. The DDIAS and where necessary, the RIM Committee should also be points of contact for JARD. However for there to be effective interface, RIM Committees need to have core skills available to it and of course, has to be active. However, the composition and functionality of the RIM Committees in MDAs are varied. In terms of composition, at one end you have MDA RIM Committees that include representatives of each Division/Department within the MDA, while at the other end there are Committees that are much smaller and comprise representatives from select areas of the MDA. Key skills are sometimes absent from the varied models.
The Terms of Reference and responsibilities of RIM Committees also vary widely. In some MDAs the Terms of Reference are very brief, while there are other RIM Committees with a very detailed and extensive Terms of Reference. It is important that core responsibilities are captured regardless of length.
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Policy Strategies and Statements
o Infrequent meetings of or defunct RIM Committees across MDAs
The 2014 RIM Assessment noted that a number of the RIM Committees were non-functional (i.e meeting and carrying out their roles and responsibilities infrequently or not at all). A number of MDAs did not have RIM Committees and were not in fact aware of the requirement.
3.5.2 Policy Objectives
1. To establish internal structures and mechanisms for achieving and maintaining full compliance
with RIM policies, procedures and the requisite RIM standards.
2. To guide the composition of RIM Committees so that they include the key RIM stakeholders in
the MDAs.
3. To give guidance on the key essentials of the Terms of Reference of RIM Committees so as to
ensure uniformity of purpose and operation and to prescribe minimum intervals for meetings
of the RIM Committee
3.5.3
The RIM Committees shall be constituted, at the Ministry level, and shall be chaired by a member
of the Senior Management Team designated by the Permanent Secretary. The DDIAS of the
Ministry shall perform the secretariat functions of the Committee.
The RIM Committees shall include representatives from the legal and IT departments of the
Ministry, one representative from the administrative department and one representative from
the technical departments of the Ministry.
The core Terms of Reference for RIM Committees shall be set out by Administrative Circular to
be issued by JARD from time to time, in consultation with the MDAs, to include the following
minimum functions:
development of internal RIM Policies and RIM procedure manuals (to include
the treatment of e-RIM and audio visual records);
development of retention and disposal schedules;
development of internal classification protocols which are compatible with the
established GoJ classification scheme as existing from time to time;
provision of advice, as needed, with respect to the provision of access to official
records to the public in accordance with the ATI Act and any other law;
provision of advice on the roles and responsibilities to be ascribed various
categories of staff;
oversight of MDA’s compliance with GoJ and internal RIM policy and procedure
manuals; and
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serve as a point of contact for JARD on RIM matters, particularly, the
implementation of the GoJ RIM Programme.
Each Department and Agency of the Ministry shall have its own RIM Committee which shall be
similarly structured (where feasible) and shall liaise with the portfolio Ministry RIM Committee
as needed and for reporting purposes.
The RIM Committees shall meet at least once per Quarter and Minutes of the RIM Committee
meetings shall be compiled and maintained.
Each year, a meeting shall be convened by the Chair of the Ministry’s RIM Committee and shall
be attended by at least one representative from each Department and Agency of the Ministry.
3.6 Creation, Capture and Registration of Records
3.6.1 Issues
o Breakdown in registry procedures
Registries and documentation centres in MDAs are facing a number of challenges in capturing and registering paper, audio-visual and electronic records. In MDAs, the receipt and forwarding of incoming mail without same being opened in the registry, is compromising the role of the registries and documentation centres. This, as mail received in the registry, is no longer being opened, what now obtains in a number of MDAs is that mail received is logged in terms of the intended recipient and the noted sender, in these instances, mail once opened by Units, should be returned to the registry for record capture and registration to be done. This procedure should also obtain, if Units receive mail directly.
o Absence of e-RIM policies, standard practices and procedures
The sustainability of electronic records in MDAs is also not being considered at the earliest possible stage in the lifecycle, giving rise to the need for expensive 'digital archaeology' later. Investment in careful planning at creation can substantially reduce the subsequent costs of preservation. Large quantities of electronic records are being generated either on computers in the office or through mobile communication devices. Existing MDA procedure manuals are largely silent on the handling of electronic documents and records with the result that the records are largely being handled outside the formal registry systems of the MDAs. While some of the MDAs have tried to address the issue of electronic records by requiring, for instance, that relevant emails be printed so that they can be filed together with related documents, not many officers are conforming to this nor have the discipline to follow this instruction. The result
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Policy Strategies and Statements
is that a significant amount of records are not being handled by the registries and documentation centres which end up with only partial records of the entity. This dysfunction needs to be addressed and points to the urgent need for written e-RIM policies to be established, along with standard practices and procedures.
o Absence of policies, standard practices and procedures for Audio Visual Records Audio Visual (AV) records are also being generated and accumulated by MDAs without being captured and registered as records. The AV records are either generated as part of other MDA activities or by MDAs whose specific mandates result in the production of large quantities of AV materials which are unaccounted for from a RIM perspective.
This Policy aims to improve the accountability mechanisms for registries and documentation centres and to give them enhanced control over all records created in the MDAs, including electronic and AV records.
3.6.2 Policy Objectives
1. To provide that all records created or received in the course of government business (regardless
of format) are captured and registered into the record keeping system.
2. To provide for records which are authentic, accurate, complete, reliable and usable throughout
the records’ lifecycle.
3.6.3
All records created or received in the normal course of business by any Government Institution
or employee shall be the property of the GoJ and shall be captured and registered into a record
keeping system. This shall include electronic and AV records.
All records’ creators and users shall be aware of the distinction between records and non-
records. Once captured and registered into the recordkeeping system, records shall not be
altered.
Officers shall be required to work on the network drives and save the information either in the
shared folders or individual folders on the network as determined by MDA’s e-RIM policies and
procedure manuals.
Document naming conventions shall be used for electronic records as per the guidelines that
will be issued by the National Archives/JARD from time to time.
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Metadata, i.e data that provides information about the record, shall also be recorded as per
guidelines that will be issued by the National Archives/JARD. When creating records, all officers
shall ensure that they create records that are complete, accurate and contain sufficient
information and details to enable them to provide authoritative and authentic evidence of the
transactions that they represent.
The medium used when creating records shall be that which promotes long-term preservation,
retrieval and usability of the records.
The National Archives/JARD shall define standards and give guidance to ensure that
sustainability issues are adequately addressed as part of the planning, creation, and active
management of electronic records. These may include guidelines on such issues as file formats
and other technology selection issues, metadata standards, and wider information management
standards.
All MDAs shall include RIM awareness in their staff induction programmes and the RIM procedure manuals shall be made available to all staff either through the intranet or on the shared drives of each department/section/unit.
3.7 Classification and Indexing
Records classification constitutes the centre-piece of any RIM system, whether paper or electronic
records. An institution-wide and predictable classification structure will considerably improve the
rate at which information can be retrieved and shared.
3.7.1 Issues
o Lack of uniform file classification system for all forms of records
There is no GoJ wide file classification system, although some MDAs are using a classification system for common classes of records that was developed by the G-RIM Network a few years ago (i.e. the Subject Classification Guide for Common and Administrative and Operational Records). Most MDAs, however, have their own MDA specific classification systems. This limits information sharing and these varied systems create a challenge when files are transferred to new MDAs. In general, most of the file classification is limited to paper records and there is very little classification of electronic records which are mostly held in unorganised folders. There is no alignment between the paper and electronic records classification system and retrieval of electronic information and records, is largely dependent on the personal knowledge of the records creator.
o Unsustainability of current classification scheme for common records
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The abovementioned classification system being utilised by some MDAs, is however unsustainable because it does not have the capacity to accommodate additional subject categories as will inevitably occur. New options will therefore have to be explored and a scheme adopted.
o Need to align adopted classification system with retention and disposal schedules In the past, retention schedules were determined almost file by file. In this era, which is characterised by an individual’s ability to generate records at an accelerated rate, it is necessary to design a system which treats with appraisal and retention, not at the micro level, but at the macro level (i.e at the records’ series and sub-series level).
3.7.2 Policy Objectives
1. To provide for a Government wide classification system that standardises filing (including
electronic) across all MDAs and which provides platforms for such RIM processes as records
appraisal.
2. To promote the adoption of an expandable classification system which allows flexibility at the
sub-series level.
3. To promote the development and adoption of a compatible classification system for AV records.
4. To ensure that each MDA has its own institution specific file plan that is in accordance with the
government-wide classification system.
5. To provide a basis for the development of retention and disposal schedules which are aligned to
the classification scheme to be adopted.
6. To ensure that records are indexed so as to provide adequate data to facilitate search and
retrieval.
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3.7.3 Policy Strategies and Statements
All MDAs shall adopt and use the GoJ Functional Based Classification Schemes based on the
classification of the business activities of the entity. However, for purposes of uniformity, all
MDAs will be required to start with the common types of functions before the institution specific
functions.
The classification schemes shall be used to develop institutional Master File Plans which shall
apply to both paper and electronic records.
The Master File Plans shall be prepared at records series and sub-series levels and shall mirror
the main functions and sub-functions of the organisation.
The Master File Plan in each institution shall be a controlled document which, after internal
approval, shall be submitted for approval by the Government Archivist and which shall only be
changed with the approval of the latter.
Beyond the Master File Plan, there shall be flexibility in terms of which records, series and sub-
series to expand, depending on the detailed functions and activities of the particular
department, unit or office.
All officers that generate, receive and maintain records in their offices (paper and electronic)
shall be required to classify the records as per the File Plan of the institution.
The National Archives/JARD will issue guidelines for the treatment of classification of AV records
having considered:
the outcome of the National Library’s deliberations relative to standardised cataloguing
of AV materials; and
the standard(s) to be used and the automated platforms required to support them;
Timelines for roll out of the AV classification scheme is as specified in the RIM Policy
Implementation Schedule.
Records shall be indexed as per the guidelines provided in the RIM Procedure Manual of the GoJ
and the MDA from time to time.
Every MDA shall ensure that classification and indexing systems are managed and controlled by
appropriately qualified records officers to ensure their effectiveness, accuracy and
sustainability.
All registries will maintain complete inventories of MDA records.
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Box 3.1
Special Note:
The advantage of a function based classification system is that while
there will be a uniform approach to the building of classification
schemes, each classification scheme will be reflective of and thus suited
to the particular structures and functioning modalities of that entity.
The classification schemes would still be easily auditable as, by merely
looking at the organogram and function schedule of the institution, one
will be able to determine what series and sub-series should be found in
the MDA and it will still be possible to develop generic retention
schedules for records series of commonly found records.
3.8 Storage and Maintenance
3.8.1 Issues
o Lack of Critical Resources in MDAs
The RIM Assessment Report, 2014, noted that:
the typical registry audited had obsolete technology, furniture and equipment and that RIM areas
in MDAs were normally given outdated IT equipment;
owing to considerable space challenges in the MDAs, some of the records were stored in a state
which made efficient retrieval almost impossible and that there were issues with the quality of
boxes used and with the shelving configurations; and
MDAs were experiencing severe shortages of space for records storage, a situation which was
compounded by the inadequate storage space at JARD which resulted in the rejection of MDA
requests to deposit records.
o Resource constraints at JARD limiting its capacity to effectively deliver on its mandate As previously stated, JARD is operating from three locations, in premises that are unsuitable and inadequate, while utilising outdated ICT equipment. Many of the MDAs are in fact better equipped and resourced than JARD in terms of ICT and there is an urgent need for JARD to be provided with a new home and modern equipment that will enable it to fulfill its mandated functions and to lead and
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support the MDAs in the storage, maintenance, preservation and overall management of records and archives.
o Lack of documented policies, procedures and adherence to standard practices for proper environmental control and business continuity
The RIM Assessment Report, 2014, further noted that environmental controls were low and below required standards in MDAs and JARD. Notably, over 80% of respondents did not have a policy or procedural guideline for environmental control. Air quality testing was not being done and pest management control was not regular. Forty-seven percent of the records reviewed were exposed to either dust, sunlight or both and 86% did not have procedures/guidelines for disaster recovery or mitigation. Part of the problem identified was the lack of awareness of the environmental requirements for records and archives and the steps that needed to be taken to provide a suitable environment for records.
3.8.2 Policy Objectives
1. To provide for the appropriate storage, preservation and protection of records and archives.
2. To set standards regarding the environmental requirements for records and archives.
3. To raise awareness of the environmental requirements for records and archives.
3.8.3 Policy Statements and Strategies
MDAs shall be provided with the buildings, office space, records storage space, shelving, RIM
supplies, reprographic and conservation equipment, information communication technologies
and other resources necessary for the safekeeping of the records and archives in keeping with
the goals and the objectives of the RIM Programme over the medium to long term and
JARD/National Archives, over the period 2018 - 2025.
Records storage arrangements shall take into consideration the format, media, nature and use
of the records, as well as migration requirements in the case of electronic and digital records.
Adequate storage space and facilities shall be provided to cater for current records in the
registries and operational areas in the short term.
Each MDA shall provide appropriate storerooms and strongrooms, with appropriate shelving
and other equipment for the storage and management of semi-current records.
Non-current records, both paper and electronic, shall be transferred to the custody of the
Government Records Centre, and, in the case of electronic non-current records, transferred to
a designated repository under National Archives’/JARD’s custodianship.
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National Archives’/JARD’s ICT infrastructure shall be at a level equivalent to or higher than the
MDAs and the National Archives/JARD shall maintain, or make arrangements to maintain,
multiple redundant copies of electronically archived records, through appropriate replication
and backup processes.
At least one complete set of backup copies shall be maintained at a remote secure facility,
located at least 100 kilometres from the main archive centre. The viability of backup copies,
including the ability to restore from backups, shall be periodically tested.
The National Archives/JARD shall issue guidelines on the storage and maintenance of paper, electronic, digital and AV records.
Preservation requirements for records and archives shall be incorporated into JARD’s and MDAs’
Incident Management Framework and Business Continuity Planning process to ensure the
continued availability or restoration of all stored records in the event of an incident or disaster.
The relevant plans shall be periodically tested through appropriate types of disaster recovery
exercises.
All MDAs shall be required to have clearly articulated environmental standards and controls for
records and archives.
MDAs and National Archives/JARD shall make provision for (on the establishment or by
outsourcing) securing expert advice with respect to compliance with the relevant environmental
standards and controls for RIM and for taking the appropriate steps recommended, after the
conduct of environmental audits and other inspections .
3.9 Security Access, Use and Tracking of Records
3.9.1 Issues
o Weak Security Systems & Control
The 2014 RIM Assessment noted that the security levels for records in the GoJ institutions were low.
Systems for regulating access to records were weak and there were instances of unlocked registries
and other lapses in security, to include the practice of records with confidential information being
placed within easy access of general staff.
In general, access authorisation controls were weak and RIM Managers were not involved in
monitoring the use and movement of records.
o Unsatisfactory Retrieval Rates to Provide Access
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Poor record keeping (to include issues arising from ad hoc classification, indexing and cataloguing)
impacts on records retrieval rates in providing prompt access to internal and external clients. In addition,
the high volume of records in MDAs has led to the observation in the 2014 RIM Assessment that many
entities have had to resort to storing records in trailers and other inappropriate facilities; some of these
records have not been sorted in any logical way which would facilitate easy retrieval, access and use.
o Inadequate mechanisms to track and record the movement of records
Poor tracking controls, manifested in the passing on of records from office to office, without notifying
the Registry of either their existence or their movement, has created a significant problem for RIM. The
proliferation of records and limited use of ICT for RIM however, will not likely allow for a return to the
traditional form of control that a (physical) central Registry offered in the first three post-independence
decades; alternate modes need therefore to be identified.
Further, the 2014 RIM Assessment notes that the RIM function does not have full control in the
monitoring of staff, with respect to records transmittal in the organisation. RIM managers are not part
of the management cadre that monitors movement and potential loss with respect to movers, joiners
and leavers.
3.9.2 Policy Objectives
1. To ensure that all records are accessible and can be promptly availed for use.
2. To ensure that there are controls to regulate access to all records, including the security
classification of records.
3. To ensure that the movement of all records is tracked and recorded.
3.9.3 Policy Strategies and Statements
The design and acquisition of software which will enable the establishment of an electronic central registry will be pursued over the medium to long term.
Procedures for access and use of all records shall be developed and enforced, and shall define access and authority controls, stipulating which officer can have access to what records and which access rights shall be enforced within the record keeping system.
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To facilitate granting of access rights, records shall be security classified and categorised according to their level of sensitivity. Records that are restricted shall be boldly stamped or watermarked to reflect their access status. The National Archives/JARD in consultation with the Information Commissioner or such other officer charged with treating with data protection, will develop Guidelines for these purposes.
Appropriate systems shall be developed and used for the tracking of paper and electronic documents and records. This shall include both action and location tracking.
All e-RIM systems shall provide for audit trails and/or event logs to record all actions applied on e-records within the system, the time, dates and persons responsible for the actions.
Public access to all government records shall be governed by the legislative regulations relating to access and provision of information to the public.
3.10 Records Disposition
Existing legislation governs the disposition of records and specifically directs that official records may
not be disposed of without the approval and sanction of the AAC. Through the Records Management
Handbook, JARD has embraced the concept of records appraisal at the macro level (i.e. at series and
sub-series levels) and has also adopted a two-step value based approach which assesses the
“primary” and “secondary” values of records.
3.10.1 Issues
o Non-Existence of Records Retention and Disposal Schedules
The 2014 RIM Assessment concluded that a third of the MDAs examined did not have retention
schedules and therefore had no guidance for the retention and disposal of records. Further, 75% of
the respondents stated that records of no continuing value were not being destroyed in keeping with
acceptable RIM standards. The current lack of this critical instrument contributes to the storage of a
great number of records without archival value, beyond their useful life. The effect of doing so
increases the cost of storage and results in a waste of limited financial resources.
o MDA’s Subjective Approach to Appraisal of Records and Non-Compliance with Disposition
Schedules
While the existing framework provides a sound and commendable platform, at the moment, records
appraisal for those institutions undertaking appraisals is largely being done by individual officers at
the MDA and JARD levels. This means that appraisals are not done pursuant to a system, but instead,
occurs at the instance of an individual, whose biases and judgment inform the process.
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Recommendations are then forwarded to the AAC. The RIM Assessment, 2014, reports that 25% of
MDAs did not think the retention schedules were appropriate and another 27.7% did not think the
schedules being utiliisd were in compliance with legislation. There are also further problems in
implementation, in that, even for those categories of records that have been appraised, the MDAs
are not necessarily disposing of the records when the set retention periods expire and disposal
exercises are fettered by, among other things, the cost of safe disposal (e.g. incineration or
shredding).
It is recognised that low levels of awareness of the functions of JARD and a lack of confidence in their
capacity to securely store, conserve and preserve official records and archives, contribute to this
failing. New approaches and implementation, will have to be predicated on environmentally
compliant facilities being secured at JARD and other critical success factors effected.
o Lack of clarity with respect to the definition of and procedures for the disposition of non-records.
While the legislative definition of official records in the Act (for example) may be interpreted to
suggest that anything created during the course of doing official business (on paper or electronically)
is a record, practitioners make a distinction between records and non-records. This notwithstanding,
there is no legislative definition of record or non-records, nor any express provision for the disposal
of non-records. This results is the unnecessary retention of non-records.
o No standards and procedures governing the retention and disposal of e-records
There are no legislative or GoJ wide standards and procedures governing the retention and disposal of
e-records, notwithstanding the fact that increasingly, critical matters are treated with via electronic
means. A vast number of critical e-records therefore, have the potential to be lost, and in some instances
have been lost to the GoJ where some individual users determine that it is convenient or otherwise
beneficial to delete these records. Also, upon the closure of that individual’s electronic sign-on and email
account, transfer or other form of separation from the MDA or Unit/Division within the MDA, these
records are invariably lost. Policies, programmes and plans are therefore being developed and decision
being taken based on incomplete information.
o Lack of clarity as to how documents in the Ministers’ offices are to be maintained and disposed.
By practice, records created in the Ministers’ office but which relate solely to the party or their
constituencies do not fall within the GoJ RIM regime. Additionally, there is need to specifically provide
RIM standards and procedures for Cabinet documents and other MDA records which the Ministers’
office possesses and which would fall under the government RIM policy.
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3.10.2 Policy Objectives
1. To provide for the appraisal of official records (electronic, physical and audio-visual
records) and preparation of records retention/disposal schedules through consultative
processes.
2. To provide for the timely disposal of records in accordance with the set retention
periods.
3. To provide for the timely transfer and preservation of records with archival value.
4. To provide a legislative and procedural framework for treating with non-records.
5. To strengthen the procedural framework for the treatment of official records held in
Ministers’ offices.
6. To build capacity and improve the infrastructure of the National Arhchives/JARD to
allow for optimal delivery of their mandate relative to the receipt and storage of official
records and archives; the maintenance and preservation of same and timely disposition
of records.
3.10.3 Policy Strategies and Statements
No official records shall be destroyed without the approval of the AAC.
The appraisal of records and the preparation of records retention/disposal schedules shall be
done at the macro-level, i.e. at records series and sub-series levels.
Non-records shall be defined to refer to documents such as drafts, worksheets, routine memos,
or extra copies created for convenience or distribution, that have no retention value and no
need for filing. Disposal shall be in an appropriate and prescribed manner once that
administrative, legal or fiscal use has expired. The requirements for retention should be
sufficiently flexible so that retention is not a fixed period of time but may be event driven.
JARD/National Archives will issue circulars from time to time, regarding the treatment of non-
records.
The definition of official records, for purposes of RIM will be reviewed to embrace all documents,
regardless of form or medium, once created or received in the course of doing the business of
the MDA, specific reference to e-records will be considered;
The GoJ will develop a Procedure Manual which will set out the criteria for determining whether
an official record has a permanent or short-term value and will embed considerations such as:
continuing administrative, legal and financial value;
context, that is the organisational, functional, and operational circumstances surrounding
the records’ creation, receipt, storage, or use;
evidential value of an organisation’s activity(s); and
historical and cultural value.
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The overarching GOJ Procedurel Manual will treat with Cabinet and official documents in
Ministers’ offices.
Records retention/disposal schedules for categories of records that are common across the
public service shall be prepared and issued by the AAC and shall be applied by all MDAs.
MDAs shall develop institution specific records retention/disposal schedules in compliance with
the GoJ Procedure Manual and through consultation with the RIM Committee and the National
Archives/JARD.
Records of transitory value shall be disposed of by the MDAs and by the National Archives/JARD
in line with the retention/disposal schedules approved by the AAC. No record shall remain un-
disposed of more than six months after its due date for disposition.
Methods of disposal shall be appropriate to the type of record and medium, environmentally
friendly and shall preserve the confidentiality of any information they contain. The National
Archives/JARD, in keeping with decisions of the AAC will provide guidance accordingly.
All official records with archival value shall be transferred to the custody of the National
Archives/JARD where, on maturation as public archives, they shall be made available for public
consultation, in accordance with the Archives Act and any disclosure restrictions that may exist.
All official records with archival value kept by any repository that may be sanctioned by The
National Archives/JARD shall be maintained in accordance with guidelines and conditions that
shall be set by the National Archives/JARD.
3.11 Email Management
3.11.1 Issues
o Lack of email management and control across MDAs
The management of emails in Government institutions is unsatisfactory. Generally, the DDIAS or the
head of records management does not know what information is held in the various email accounts
and attempts to get officers to copy, print and have filed those emails deemed to be important,
however this does not necessarily result in officers doing this diligently. In fact, officers tend to view
emails as their personal information (even though created and received in Government time and on
Government assignment), handover/takeover procedures for this medium of communication are
virtually non-existent and in most cases, when an officer leaves office, that is the end of that email
account without transfer to the organisation or successor. This results in an information gap, which
negatively affects business processes.
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There is need to establish adequate supporting strategies to bring about the desired efficiency in the
capture and management of emails.
3.11.2 Policy Objectives
1. To provide a system for the management of email-based records as official records of
the GoJ.
2. To introduce the CAPSTONE9 approach under which emails of designated higher level
officers in institutions will be archived and preserved.
3.11.3 Policy Strategies and Statements
Emails that are used to conduct GoJ business are official records and shall be captured as records
and managed in accordance with this Policy.
All MDAs shall invest in email management systems that facilitate the capture and management
of emails as official records of the GoJ. Such systems shall be deployed on government
designated domains.
All emails held in the official GoJ email domain(s) are the property of the GoJ therefore users of
GoJ email systems shall not have any expectations of privacy.
Use of personal email addresses by public officers for official business is prohibited. If, because
of system constraints/crashes, public officers have to use alternate email addresses, these shall
be in the name of the organisation, not personal addresses.
Personal emails shall not be considered as official records and shall not be captured into the
record keeping system.
E-mails that are deemed to have evidential value shall remain intact in terms of their structure,
content and context to ensure they remain authentic and accurate for the entire duration they
are serving business functions.
RIM Committees in MDAs shall designate levels at which officer’s e-mails are required to be
archived and preserved as per the CAPSTONE approach.
E-mails received by or initiated by public offices, including attachments, and which relate to the
business activities of public offices of non-designated e-mail accounts, shall be retained in
accordance with the established records retention/disposal schedules of the institution, as
approved by the AAC.
9 The CAPSTONE approach was pioneered by the National Archives and Records Administration (NARA) of the United States of America and provides for the retention of emails according to the seniority of the officer conducting aspects of the job via email accounts. That is, emails of designated positions in the institution are archived and preserved.
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E-mails shall be subject to established access controls regulations to protect against
unauthorised or inappropriate access.
All MDAs shall define categories of information that may not be transmitted via e-mail.
3.12 Information Sharing
3.12.1 Issues
Advances in information technology have increased information sharing through such platforms as
Facebook, Twitter and Instagram. However, in most MDAs and in offices, information sharing is limited
by a number of factors including lack of common/organisational filing systems; individualised filing in
which only the creator of the records knows what is stored where; inadequate use of shared network
drives; and use of personal email addresses which results in the circumvention of the official mail
system.
While there are limitations to the amount of information sharing that can take place within the MDAs,
inter-MDA sharing of information is even much less with the result that certain work is commissioned
anew without awareness that another MDA has already gathered most of the information required.
This results in duplication of efforts and waste within the public sector.
3.12.2 Policy Objectives
1. To establish systems and processes which support the objective of the Access to Information
legislation and the efficient management of information to facilitate ready access to official
documents.
2. To establish, as well as promote RIM standards which support any Data Collection and
Information Sharing and Data Protection regimes of the GoJ which may exist from time to time.
3.12.3 Policy Strategies and Statements
The flow of information and sharing of data within and across public institutions shall
be encouraged to promote common understanding and knowledge, inform decision
making and improve service delivery within approved frameworks.
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All MDAs shall identify and classify their information in terms of what can be shared
within the institution, what can be shared with other public institutions, what can be
shared with non-public institutions, what can be shared with the public (public
information) and what should not be shared.
Provisions of various policies and legislation governing disclosure of public information
shall be complied with when sharing information with entities outside the MDA.
Adequate technological infrastructure including ICTs shall be deployed to facilitate
sharing of information, including but not limited to online sharing. Such technologies
shall provide adequate security for information being shared.
To promote information sharing and to enhance decision making within MDAs, a
consolidated list of the file plans and titles of files in the Registry, departments and
individual offices shall be compiled and published in keeping with the GoJ RIM
Procedure Manual. Any information of public policy or other relevance or significance,
collected through research or surveys and whose value has cross-cutting benefits across
the public sector, shall be shared with relevant MDAs in keeping with this Policy and the
provisions of a Data Collection and Information Sharing Policy to be developed.
3.12 ICT for RIM
This Policy emphasises the need to harmonise and rationalise the adoption and implementation of
ICT solutions so that the resultant ICT generated records can be fairly standardised and can be
archived by JARD without the need to acquire and maintain multiple technology platforms. Among
other issues affecting the successful operation of RIM in the digital era, is the deficit of RIM ICT skills
in JARD and some MDAs, the lack of business continuity and disaster recovery planning and e-RIM
standards, as well as inadequate perimeter and internal information security.
The Policy takes account of the need for ICT policies to be established at the executive level of all
enterprises; technology neutrality; and that ICT requirements must be integrated in all RIM projects
in the GoJ. It is underscored that in these considerations, it is imperative that over-arching
classification be developed and governed at the enterprise level for purposes of automating disposal
and archiving.
JARD needs to be sufficiently equipped for its core role and involvement, throughout the various
phases of the development of the RIM ICT architecture.
3.13.1 Issues
o Varied ICT Capacity; Silo Implementation across MDAs & Cost Implications
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JARD and MDAs are at various stages of ICT RIM capability. There are those at the entry level, who
are applying ICT technology in a basic and ad-hoc manner and those, at the other end, that have well
developed ICT infrastructures and systems.
The systems in use, range from small installations to large and complex ones. The existence of
numerous silo implementations, has not only increased costs but made it much more difficult to
define enterprise taxonomies that can support effective records management and process sharing
between MDAs.
o Relatively underdeveloped ICT maturity level of JARD & inherent risk to Policy Implementation
JARD is expected to take a leadership role and provide expert guidance to MDAs on this subject
matter, as well as provide custodial facilities for electronic and digital records and archives. However,
JARD is functioning at an under-developed ICT maturity level, which poses an inherent risk for policy
implementation. The size and mandate of the IT Department can only serve JARD as an
(administrative) Department. There is need to close the existing gap so that there will be ICT
applications and information management systems in offices (including email management,
digitisation and classification ) to support JARD’s business processes and the wider range of functions
and services in the new paradigm. The RIM Assessment estimated that US$3,000,000.00 is required
for capital equipment. It is worthy of note that a decision needs to be made with respect to the
automated platform that is to be used in managing the AV Archives and Jamaica Archives Units, which
would, among other things, automate the processing of new accessions, re-appraisal of the records,
accrual of materials belonging to existing series, management of donors and deeds of gifts and
importation of inputs to the processes. Such a system would also facilitate linkage from the catalogue
to the digital library, track locations, provide statistical information, generate and print labels and
provide online access to the collections.
Similarly, for the Government Records Centre, the procurement of an automated Records
Management Solution which would automatically generate accession numbers, capture accession
details and track records through each step of the request and recall process and provide automatic
notifications by email is required. The system capability needed, also spans management of the
disposition process, updating clients’ response, updating the final disposition in addition to a history
of events and audit trail data as recorded by the system. Electronic records would also be retrieved
directly from the system.
JARD is mandated to articulate RIM requirements for ICT systems through the issuance, update and
adaptation of guidelines. Prior to the initiation of the RIM project, JARD was unable to carry out this
function, however in 2013, with the support of the Cabinet Office and e-Gov Jamaica (formerly Fiscal
Services Limited) a functional requirements document for e-RIM was adapted to local needs and
tested.
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To further discharge its wide ranging responsibilities, it is necessary for JARD to build capacity (by
increasing the staff complement, increasing ICT skills necessary for the management of electronic
records and archives and ICT infrastructure acquisition), so that it is sufficiently au fait with the ICT
development cycle and positioned to intervene at MDAs at relevant stages. Anticipated support to
MDAs by way of guidance, range from records management and archival principles to registry
practices, management of semi-current records stores and ICT applications in offices including email
management, digitisation and classification.
If the deficits described in this section are not addressed, these gaps will represent a significant risk
to policy implementation, particularly as the institution is expected to take a leadership role and
provide expert guidance to the MDAs and provide custodial facilities for the electronic and digital
records and archives.
o Deficit of RIM ICT skills & systems in some MDAs
ICT is not being adequately or satisfactorily leveraged across MDAs to undergird RIM programmes,
processes and systems. Implementation of ICT systems do not sufficiently address RIM functionality.
Skill sets in the RIM documentation centres in MDAs were not found to be satisfactory nor were they
accounted for in the related Job Descriptions.
The assessment carried out by K2-Techtop Consult (PVT) Ltd. found that multiple ICT systems
implemented, do not have RIM functionality and where it does exist the RIM functionality is not utilised.
In a sample of 10 MDAs visited, 20 systems (small and large/complex ones) were installed or being
planned. There is a need to harmonise and rationalise the adoption of ICT solutions so that the resultant
ICT generated records are fairly standardised and can be archived by JARD without the need to acquire
and maintain multiple technology platforms.
It is highlighted that as it relates to Electronic Content Management Systems (ECMs) across the GoJ, a
decision needs to be made in terms of whether the GoJ will adopt a particular ECM software or whether
MDAs are given the liberty to choose that which they see as most suiting their needs. At present, there
are a number of packages that are being procured or are already acquired; these acquisitions will
represent one part of the ICT equation, the other being all the other MDA function specific ICT systems
in use and which generate records. A policy decision is needed as to which authority must carry out this
function and also, whose responsibility it is to prescribe the minimum requirements for RIM
functionality in ICT systems.
o Lack of Funding and limited collaboration militating against realising economies of scale
Very few organisations visited have the funding needed to provide complete ICT systems to support an
expanded RIM programme as part of their standard service delivery model and operating budget.
Despite a common need, MDAs show little willingness to jointly fund a centrally managed service. The
result is a series of silo implementation, which not only increases costs but makes it more difficult to
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define enterprise taxonomies that would support effective records management and process sharing
between MDAs. It is therefore critical to determine whether a central e-RIM infrastructure is to be
established, administered and supported, and if so, who should initiate and implement in this
eventuality. Collaborative approaches need also to be explored such as a model where funding
participation is provided by JARD’s and MDA’s purchase of licences and software maintenance fees.
These could result in discounted costs through master contracts.
o Lack of business continuity and disaster recovery planning
More is required with respect to business continuity and disaster recovery planning in MDAs. 44% of
the entities assessed did not have a business continuity plan and only 16% had a surrogacy programme
for records. Several MDAs visited, had experienced some form of disaster such as fire or system crash or
information loss (occasioned in many instances by the fact that systems that are more than 10 years old
are still in use and their support periods long expired). There is need to consider the active deployment
of governance systems at the enterprise level that authorises the disposal and migration of critical RIM
systems. The integration of business continuity plans across the entire organisation as a required
managed process also appears a critical success factor.
o Absence of ICT policies and standards
ICT policies at the enterprise and MDA levels are also largely absent. Also, standards need to be identified
for the enterprise.
Importantly, at the level of the GoJ, a determination needs to be made as to whether the GoJ should adopt
the International Archival Descriptive standard ISAD (G) 2nd edition and its associated standards. The ISAD
(G) provides general guidance for preparation of archival descriptions, serves to identify and explain
context and content of archival material to promote accessibility and contains general rules for archival
description that may be applied irrespective of form or medium of the archival material. Usage of the
standard also facilitates international exchange of information as some aspects of the standard are linked
to ISO standards (for instance, in citing published sources, users are encouraged to use the latest version
of ISO 690: Documentation – Bibliographic References- Content, Form and Structure).
o Inadequate perimeter and internal information security
There is the concern that most MDAs and (JARD included) do not have the confidence that there is
adequate security planning in the implementation of systems. Notably, there is a focus on ‘perimeter
security’ generally, which involves making sure that intruders and un-authorised personnel cannot get
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in to record centres and registries without due attention to the bigger threat to information security
posed by insider security breaches.
o Absence of ICT RIM Architect and implications
RIM ICT concerns are pervasive throughout JARD and MDAs and in all phases of the systems
development. All groups of stakeholders in the enterprise have RIM ICT concerns but no expert to direct
same to. A solution, may rest in providing for a RIM ICT architect.
3.13.2 Policy Objectives
1. To provide support across the RIM enterprise to consolidate the fragmented legacy of
ICT solutions into an integrated environment that is responsive to change and
supportive of the cost effective delivery of RIM objectives, customer related processes
and online services.
2. To ensure the needs of the National Archives/JARD and MDAs for an integrated ICT
strategy are met, permitting the closest possible synergy across the extended RIM
enterprise.
3. To provide a strategic and operational context for the evolution of ICT systems in
response to the constantly changing needs of the RIM business environment.
4. To promote the establishment across MDAs, RIM business continuity and disaster
recovery plans
3.13.3 Policy Strategies and Statements
The GoJ:
requires that full specifications for an ECM be made available to all MDAs by e-Gov, with the
indication that requirements are to be segmented in accordance with the ICT maturity level of
each organisation;
requires that MDAs procuring ECM will select from designated software packages identified by e-
Gov (e.g. three or four packages) for use by MDAs;
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mandates the National Archives/JARD to issue circulars/guidelines from time to time, on such
issues as the minimum standards for records management functionality, having due regard to
guidelines produced by the International Records Management Trust, the International Council
on Archives and other authoritative sources on this issue;
supports the acquisition of an automated Archival Management Solution to automate the processing of new accessions, re-appraisal of the records, accrual of materials belonging to existing series, management of donors and deeds of gifts, importation of inputs to the processes, as also the processing, arranging and collections descriptions, automatically on entering the RIM system. It is acknowledged that this system would facilitate linkage from the catalogue to the digital library, track locations, provide statistical information, generate and print labels and provide online access to the collections;
will adopt the ISAD(G) 2nd edition standard for archival description;
will adopt standards complementary to the DoD 5012 for the ECM and ISO15489-1:2016 for
records management processes (see Figure 1 below)
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Figure 1: ISO Complementary RIM Standards Diagram
requires MDAs to deposit all AV materials, which are official records, to both JARD and the National Library10, whether or not the works are published or non-published. This will promote having completeness in records, as required by ISO 15489-1:2016;
requires National Archives/JARD to offer centralised archival services for e-RIM and for e-Gov to offer hosting services. This will obviate the need for JARD/National Archives to undertake extensive expenditure investment in staff, software licenses, and infrastructure;
requires JARD/National Archives to develop an over-arching classification, to be governed at the
enterprise level. The classification system should facilitate the appraisal of records and
preparation of retention/disposal schedules. The classification system should embed features
supporting disposal and archival processes (e.g prompts when records are due for disposition);
10 The National ibrary is recognised as the Principal leal repository for pubished works by the Leal Deposit Act.
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will deploy governance systems at the enterprise level that would authorise the disposal and
migration of critical RIM ICT systems;
recognises the five categories of skills required to run an optimal RIM enterprise, specifically:
Registry, Records Centre, Paper Archive, Digital Archive and Audio Visual Archive. The Figure 2
below tabulates the supporting skills for each and highlights those in blue as new skills required
for e-RIM environments;
Figure 2: e-RIM Skills Matrix
mandates that the National Archives/JARD shall develop guidelines and take the lead role in
establishing standards governing RIM requirements in ICT systems and ensure that any changes
to the requirements are handled through appropriate governance processes and shared with all
MDAs;
Registry
Records Management
Client Support
Workflow Management
Document Management
Records Centre
Records Management
Client Support
Workflow Management
Space Management
Paper Archive
Archives Management
Client Support
Workflow Management
Space Management
Paper Conservation
Digital Archive
Archives Management
Client Support
Workflow Management
Document Management
Database Management
Audio Visual
Archives Management
Client Support
Workflow Management
Audio/Video Production
AV Preservation
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mandates that the National Archives/JARD shall develop a RIM Capability Maturity Model to
provide an effective and objective method for MDAs to gradually gain control over and improve
their RIM processes;
requires changes to the RIM enterprise ICT environment shall be implemented in a timely
manner;
requires that recoverability, redundancy, continuity and sustainability of RIM in ICT systems be
addressed at the time of design and must be fully integrated across the entire organisation as a
required managed process;
requires affected MDAs to employ Collaborative Case Management (CCM) approaches, which
leverage the core components of RIM including online links to case documents for rapid retrieval
and review;
requires MDAs to complement perimeter security with a measured approach to managing
internal information security, by developing prescribed standards to manage and secure content
using access controls and audit trails;
mandates the National Archives/JARD to establish a sustainable ICT infrastructure for electronic
and digital preservation and this shall be managed for as long as the electronic and digital
records continue to exist;
acknowledges that it is desirable to bring a RIM ICT architect function into the RIM programme
as early as possible to offer guidance, throughout the phases of the RIM implementation, on
RIM ICT-specific information which should be gathered, steps which should be taken, and
procedures which should be created. Architecture decisions related to RIM ICT should be
traceable to policy decisions and their risk management; (see Box 3.2)
requires that the National Archives/JARD shall be involved in the planning of ICT projects to
ensure the new capability not only meets the business goals and strategic objectives but also
addresses the RIM requirements. The National Archives/JARD is to be equipped at all times to
intervene at any stage of the development cycle;
requires that RIM software and hardware shall conform to defined standards that promote
interoperability for data, applications and technology; and
requires RIM ICT initiatives to be conducted in accordance with the enterprise plan promulgated
by the National Archives/JARD. Individual MDAs shall pursue RIM ICT initiatives which conform
to the blueprints and priorities established at the enterprise level.
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Box 3.2: ICT Architect Functions
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The generally accepted areas of concern for the RIM ICT architect are:
Creation or receipt of information in the form of records
Classification of the records or their information in some logical system
Maintenance and use of the records, and
Disposition through destruction or transfer to archives.
This is then followed by a second, archival phase consisting of:
Selection/acquisition of the records by archives,
Description of the records in inventories, finding aids, and the like,
Preservation of the records or, perhaps, the information in the records, and
Reference and use of the information by researchers and scholars
Typical RIM ICT architecture policies and procedures would include:
Business rules regarding handling of data/information assets
Written and published RIM ICT Policy
Codified data/information asset ownership and custody
Risk analysis documentation
Data classification policy documentation.
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4.0 POLICY IMPLEMENTATION
4.1 Approval and Implementation
This Policy shall take effect upon approval and promulgation by the GoJ.
Recognising that MDAs are at disparate stages of readiness, there will be
a phased implementation (i.e over Three Phases, linked to the GoJ’s
Financial Years (FY)):
Phase 1: FY 2018/2019 - 2020/202111
Phase 2: FY 2021/2022 - 2024/2025
Phase 3: Post 2025.
MDAs will, be ranked by class and placed in one of four categories (i.e Class 1, Class 2, Class 3 or Class
4 being the highest attainable rank) based on their RIM Maturity levels The GoJ RIM Policy
Overarching Strategy and Implementation Plan (Annexure I (A) refers) assigns targets for the Classes
into which MDAs will be divided, based on their ranking based on the outcome of their RIM
Assessment Score Card (Annexure 1 (B) provides the template for same). The GoJ RIM Policy
Overarching Strategy and Implementation Plan will match policy responsibilities with the appropriate
category/class of MDA, relevant to each Phase.
The GoJ RIM Policy Overarching Strategy and Implementation Plan, shall guide the operationalisation
of the Policy.
The GoJ RIM Procedure Manuals for JARD will also support structured and effective implementation.
4.2 Key Stakeholders and their Roles and Responsibilities
4.2.1 Overall Responsibility
The overall responsibility for this policy shall rest with the Ministry of Education, Youth and
Information.
11 Phase 1 is planned to work in tandem with the Public Sector and Modernisation Programme Five Year Plan
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4.2.2 Responsibilities of the National Archives/JARD
The responsibility for the coordination and implementation of the Policy shall rest with National
Archives/JARD.
The National Archives/JARD shall exercise oversight on the management of current and semi-current
records in MDAs and for the maintenance and preservation of the records and archives transferred
to its custody.
The National Archives/JARD shall also be the responsible authority for the File Plans of MDAs and
must approve all institutional File Plans before they can be deployed.
Control of the destruction/disposal of official records shall be the responsibility of JARD and official
records may only be disposed of in terms of Records Retention/Disposal Schedules approved by the
Archives Advisory Committee.
4.2.3 Institutional Responsibility
Implementation of the RIM Programme has been structured to proceed under the direction of a RIM
Oversight Committee chaired by the Permanent Secretary in the Minsistry of Education, Youth and
Information. Five key results areas (Pollicy, Legislation and Regulatory Framework; Organisational
Struture and Human Resources for RIM; JARD Modernisation; Implementation of RIM Systems; and
Capacitation of Key Stakeholders) have been identified and related Sub-Committees established to
implement necessary deliverables.
The implementation of this policy within all MDAs shall rest with the Head of Entities (e.g. Permanent
Secretaries or Chief Executive Officers/Managing Directors of the institutions as may be applicable),
through the RIM Committee.
In each Ministry, direct responsibility shall be vested with the DDIAS, who shall also be responsible
for the Departments and Agencies of the Ministry for implementation of the RIM Programme.
In each Department and Agency, direct responsibility shall rest with the Records Manager or
equivalent officer.
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4.2.4 Responsibility and Accountability of Individuals
All employees shall be accountable for the records which they create, use or manage and, regardless
of their level, must be aware of their responsibilities to manage the records created or used by them,
or those under their control or custody.
All employees shall be responsible and accountable for maintaining adequate and complete records
necessary to fully document the business functions, activities, transactions, decisions and operations.
All MDA employees leaving the service of the GoJ and its Departments and Agencies shall surrender
all or any record in their custody, to their immediate supervisors.
4.2.5 Responsibility of ICT Departments/Units
ICT staff are responsible for ensuring that ICT systems have records management functionality and maintaining the technology including appropriate system accessibility, security and back up. ICT staff shall ensure that any actions, such as removing data from systems or folders, are undertaken in accordance with this policy. ICT and records and information management staff have joint responsibility in ensuring that records generated by ICT systems are appropriately managed.
4.3 Policy Implementation Issues and Challenges
4.3.1 Capacity of the National Archives/JARD
The National Archives/JARD shall be the major player in the implementation of this RIM Policy. At
present, however, the state of development as well as capacity of JARD is inadequate to fully
implement the provisions of this policy.
Capacity shortfalls for JARD include inadequate/outdated:
1. legislation; and
2. systems and technical capacity;
In addition, JARD has limited storage space to service the MDAs who are its clients as well as
inadequate human resources.
The implementation of this policy hinges on JARD being capacitated extensively starting in the
financial year 2018-2019, and legislative reform so that it can fulfill its role as a modern archives.
However, the capacity requirements are many and delaying the identified modernisation strategies
would pose a major risk to implementation of the policy.
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4.3.2 Appreciation of Records Management
In most MDAs in Jamaica, records management has been associated only with the handling of
incoming and outgoing mail as well as archiving of old records. Raising the profile of records and
information management, and seeking to impose controls on the creation, usage, management and
preservation of electronic records will pose major challenges for this policy. It would be necessary to
deploy appropriate change management strategies, as well as incentive and recognition programmes
to alleviate resistance.
4.3.3 Adherence to Records Management System
This policy imposes new requirements and obligations on all creators and users. The process of
capturing documents as records as well as requirements for recording metadata may take time to be
institutionalised and there may be challenges to increase the allocation of the requisite human and
material resources.
4.3.4 Records Appraisal and Records Disposition
While there is universal acknowledgement that records must be disposed of as soon as they have
outlived their usefulness, the consultative process of appraising the records and developing the
records retention/disposal schedules, including institution specific schedules, requires a significant
investment of time, training, establishment of adequate disposal arrangements and a significant
cultural shift.
In addition, the application of the records retention/disposal schedules requires constant reminders
and interventions and the likelihood is that many records will be retained well beyond their specified
time, unless there is close supervision of the process by the MDAs and by JARD.
4.4 Existing Legal Framework
The Jamaica Archives and Records Department (JARD) is operating under the following principal legislations:
The Record Office Act of 1879
The Record Office (Archives) Rules, 1969
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The Record Office Rules, 1975
The Archives Act, 1982
The Archives (Official Records) Regulations, 1988.
4.5 Linkages with Other Policies and Legislation
There are several other policies and legislation which have records and archives related provisions or
which impact the RIM modernisation programme. These include the following:
The Vision 2030, Jamaica National Development Plan
The Public Sector Modernization Vision and Strategy 2002-2012
The National Information and Communications Technology Strategy 2007-2012
The ICT Policy 2011
The GoJ Staff Orders
The Evidence Act, 1843
The Access to Information Act, 2002
The Official Secrets Act, 1911
The Electronic Transactions Act, 2007
The National Identification and Registration Act, 2017
The National Library of Jamaica Act, 2010
The Financial Administration and Audit Act, 1959.
4.6 Monitoring and Evaluation
4.6.1 Commitment to Monitoring and Review
The GoJ is committed to monitor at regular intervals the implementation of, and compliance with,
this Policy. A Monitoring and Evaluation Framework with clearly articulated Key Performance
Indicators (KPIs) shall be developed and linked to the Transformation and Modernisation Programme.
All staff of the MDAs whose duties involve creating, managing and/or receiving records have a direct
responsibility to ensure compliance with this Policy. Measures will be instituted to ensure that all
MDAs comply with the Policy and that objectively verifiable evidence is provided at regular intervals
to show the level of compliance by the MDAs and remedial actions taken for non-compliance.
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4.6.2 Monitoring Responsibilities of RIM Committees
The duties of each MDA RIM Committee shall include monitoring and reviewing implementation of
the RIM Policy within the MDA. The RIM Committee shall therefore:
receive reports on the implementation of the RIM Policy by Divisions and Units within the Ministry, and Departments and Agencies of the Ministry, and take appropriate actions based on the findings and recommendations of the reports; and
receive and submit to the National Archives/JARD, as required by the Archives (Official Records) Regulations, 1988, an annual summary of official records in the custody of the MDA, not later than the 31st March each year.
4.6.3 Directors of Documentation, Information and Access and Services (DDIAS)
In each Ministry, the DDIAS, shall have direct responsibility for monitoring implementation of the RIM
Policy, and, in particular, gathering and maintaining monitoring information and statistics for
compilation of the performance reports. The DDIAS shall include in its Quarterly reports to the Head
of Entity, the status of implementation of the RIM Policy within the MDA, including corrective actions
taken.
4.6.4 Internal and External Auditors
Internal auditors within the MDAs shall be responsible for monitoring and reporting on their
organisations’ compliance with the policy as part of their audit processes and reporting on risk
management, governance, effectiveness of internal control measures, and on compliance of the RIM
systems with laws, policies and regulations. The Audit shall be conducted to assess compliance with
the (phase based) RIM Implementation Strategy of the GoJ.
The external auditors shall also, as part of the institutional efficiency and effectiveness audits, include
the auditing of the RIM systems in the MDAs.
4.6.5 The National Archives/JARD Monitoring Function
The National Archives/JARD shall be responsible for actively implementing the RIM Programme
across MDAs and monitoring the overall compliance of the MDAs with the RIM Policy through use of
standardised monitoring and reporting instruments. The Natnional Archives/JARD shall maintain an
ongoing awareness of the state of records management practices and controls across all government
institutions.
The National Archives/JARD shall use the information from its compliance checks as well as
information from other sources such as the Auditor General, DDIAS and also MDA’s Internal Auditors,
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to compile and submit annual reports to the Ministry of Education,
Youth and Information on overall compliance across the MDAs. The
Report shall be tabled in the Houses of Parliament.
4.6.6 Cabinet Office Evaluation Function
The Office of the Cabinet shall conduct periodic evaluation of the RIM Programme to determine
effectiveness, efficiency and overall impact on the service delivery to the public.
4.7 Policy Review This policy shall be reviewed and/or updated at least once every five years. This review shall be
initiated by the Ministry with portfolio responsibility for the National Archives/JARD.
5.0 CONSULTATION
The development of the RIM Policy was consultative and was guided by a Policy Steering Committee
chaired by the Ministry of Education, Youth and Information with representatives from the OoC, Ministry
of Finance and the Public Service, Ministry of Economic Growth and Job Creation (formerly Ministry of
Water, Land, Environment and Climate Change), the Ministry of Health, Ministry of Science, Energy and
Technology, Office of the Prime Minister, Office of the Chief Justice (Courts Management Services), JARD,
National Land Agency, Registrar General’s Department, eGov. Jamaica Limited and the National Housing
Trust. The Committee periodically engaged the Directors, Documentation, Information and Access
Services in all Ministries throughout the Policy development process. Thirty-seven entities including all
Ministries, one agency/department of each Ministry, Office of the Services Commissions and Houses of
Parliament were engaged during the assessment phase of the policy.
Four consultations were held at the Ministry of Local Government and Community Development and the
OoC with 163 (See Annexure II) representatives from over seventy government entities. Consensus was
reached around the policy goals, objectives and principles. Ministries’ representatives included a Senior
Management Team representative, Head of RIM and an IT representative. Overall, the participants were
supportive of the policy elements however, there were concerns raised about the need to strengthen
security of records as well as the ability to implement the policy. The policy was revised to strengthen the
issues of security of records and the protection of personal records, as a result, implementation of the
Policy will be phased in accordance with the Policy Implementation Strategy.
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Additionally, consultations were held with other important stakeholders. The
Permanent Secretary’s Board was consulted and responded positively to the
goals and intention of the policy. Discussions wer held with the Office of the
Chief Information Officer and eGov Jamaica Limited. Both entities are in support of the Policy goals and
strategies. The main concern raised, was in relation to the GoJ’s ability to implement the policy (given
resource limitations) and the different RIM maturity levels of MDAs.
Revisions made to the Policy were also informed by the comments of the Attorney General’s Chambers
and the no objection of the Ministry of Finance and the Public Service has been secured.
6.0 DEFINITIONS
Term Definition
“Archives” Documents created or received and accumulated by a person or
organisation in the course of the conduct of affairs, and preserved because
of their continuing value.
The building or part of a building where archival materials are located; also referred to as an archival repository.
The Agency or programme responsible for selecting, acquiring, preserving and making available archival materials; also referred to as an archival agency, archival institution, or archival programme.
“Authentic” Record A record that can be proven to be what it purports to be. It is also a record
that is considered by the creators to be their official record because it
accurately reflects the business activities of the organisation or institution
and how they took place.
“Authoritative” Record A record that is authentic, reliable, trustworthy, useable, complete and
unaltered.
CAPSTONE approach This approach was pioneered by the National Archives and Records Administration
(NARA) of the United States of America and provides for the retention of emails
according to the seniority of the officer conducting aspects of the job via email
accounts. That is, emails of designated positions in the institution are archived and
preserved.
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Term Definition
“Complete Record” A record that is sufficient in content, context and structure to reconstruct
the relevant activities and transactions that took place.
“Destruction” The action of eliminating or removal of records or documents from the
record keeping system through deletion, formatting of media, shredding,
burning, pulping.
“Digital Archeology” The practice of rescuing or recovering valuable digital information from
obsolete formats, devices and operating systems collected over a long
period of time.
“Disposal” Actions taken to dispose of records or documents after expiry of the
retention period. The action can lead to either archiving or destruction.
“Document” A structured unit of information regardless of format or medium that is
managed as a discreet unit or object. Some documents are records because
they are by-products of business transactions that have been captured as
evidence of those transactions. Conversely, not all documents are records
simply because they do not serve as evidence of business transactions.
“Electronic Record” Information which is generated electronically that requires a combination of
computer hardware and software to be read and understood.
“Enterprise” The highest level (typically) of description of an organisation and typically
covers all missions and functions. An enterprise will often span multiple
organisations e.g. JARD and MDAs.
“Enterprise taxonomies” The organised collection and representation of a related set of concerns
pertinent to the ICT architecture. They are used to demonstrate to
stakeholders their areas of interest in the ICT architecture.
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Term Definition
“File Plan” A predetermined classification plan by which records are filed manually
and/or electronically and indexed to facilitate efficient retrieval and
disposal.
“ICT Architecture” A formal description of an ICT system, or a detailed plan of the system at
component level, to guide its implementation (source: ISO/IEC 42010: 2007).
“ICT maturity level” A formal categorisation of an organisation’s capability to conduct ICT
projects in terms or design, governance, operational governance, skills, and
organisation structure.
“Metadata” Data describing the context, content and structure of records and their
management through time. Records metadata is thus structured or semi-
structured information that describes or explains the creation, registration,
classification, maintenance, access, use and disposal of records through time
and across domains. Metadata is critical to record keeping as it is used to
identify, authenticate and contextualise records and the people, processes
and systems that create, manage, maintain and use records and the policies
that govern them.
“Non-records” Refers to documents such as drafts, worksheets, routine memos, or extra
copies created for convenience or distribution, that have no retention value
and no need for filing.
“Official Records” “official records” means all papers, documents, records, registers, printed material, maps, plans, drawings, photographs, microfilms, cinematograph films and sound recordings of any kind whatever, officially received or produced by any public organisation for the conduct of its affairs or by any officer or employee of a public organisation in the course of his official duties.(The Archives Act 1983).
“Perimeter Security” Perimeter security is one of the first lines of defense for protecting internal
systems and information in an organisation. It often refers to policies and
measures to control access to networks from outside sources.
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Term Definition
“Public Record” A record, regardless of format or medium, created or received by a
governmental body in pursuance of its activities.
“Record” Information in any medium, created, received and maintained as evidence
by an organisation or person, in pursuance of legal obligations or in the
transaction of government business.
“Recordkeeping” The process of making and maintaining complete, accurate and reliable
evidence of official business in the form of recorded information.
“Records Management” The process of ensuring the proper creation, maintenance, use and
disposition of records throughout their life cycle to achieve efficient,
transparent and accountable governance.
“Scheduling” The process of disposing of records in accordance with the retention period
prescribed in the retention/disposal schedule.
“Transitory Records” Records of short term value which are disposed of after they have served
their operational purposes.
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ANNEXURE I (A)
GoJ RIM Policy Overarching Strategy and Implementation Plan (Extract)
I/D KRA & Policy Statements and
Strategies
Activities Measurable
Outputs
Actors Resources Time Frame
2018-2022 2022-2025 Post 2025
KRA 1: Legislative and Regulatory Framework
Outcome: Records being managed in accordance with applicable RIM legislation and regulations
1.1 Review and consolidation of governing RIM
legislation in the medium term, with a view to
overcoming legislative weaknesses and providing
a modern framework for RIM;
Establish Terms of Reference for Review
Committee. Review Committee to identify
legislative reform requirements, and
commence review process. Contract
consultant. Engage stakeholders including
parliamentarians throughout the process.
Table new legislation
Revised and consolidated
Archives Act by FY
2019/2020.
OoC, MoEYI, JARD,
& Office of the
Parliamentary
Counsel.
Resources for
consultative meetings
and activities as well as
drafting of legislation.
1.2 Preparation and submission, for approval by the
Permanent Secretary or Head of
Department/Agency, MDA specific RIM Policies
and Procedure Manuals which will have been
prepared in consultation with the Archivist and
aligned to, among other things, the organisational
Prepare RIM Policy for Ministry.
Department and Agencies to draft RIM
Policies and Procedure Manuals for each
Department and Agency in keeping with the
MDA specific RIM
Policies and Procedure
Manuals developed by FY
2019/2020.
MDAs, JARD Resources for meetings
and consultations to
prepare RIM Policies
and Procedure Manuals
Prep-
aration of
MDA
Policies &
Manuals:
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planning framework and results chain as well as
the GoJ RIM Policy and Procedure.
MDA specific RIM Policy and Procedure Manuals
shall preferably be separate documents
GoJ RIM Policy and GoJ RIM Procedure
Manual.
Review and revise GoJ RIM Policy and
Procedure Manuals, at minimum, every five
years.
Revised GOJ RIM policies
and procedures, at
minimum, every five
years
Resources for meetings
to review the GoJ Policy
and Procedure Manual,
at minimum, every five
years
JARD &
All Classes
Review
GoJ
Policies
&
Procedu
res
1.3 Revise MDA policies and manuals at least once
every five years.
Revise the MDA Policies and Procedure
Manuals.
MDA specific RIM
Policies and Procedurel
Manuals revised at least
once every five years.
MDAs Resources for meetings
to review and revise
MDA specific policies
and manuals
JARD &
Classes
1-4
1.4 Sensitisation and implementation of overarching
and MDA specific RIM policies and legislation in
support of public sector modernisation
objectives and are aligned to relevant
international good practices in the short term
JARD to circulate the applicable policies and
legislation through its website. G-RIM
Network to be used to disseminate
legislation and regulations
Sensitisation programme across MDAs to be
conducted according to a schedule.
JARD website updated
with relevant policies
and legislation
commencing FY
2019/2020.
JARD No additional resources
required.
Ongoing:-
Resources for
sensitisation
programme (venue,
JARD JARD JARD
71 | P a g e
Sensitisation programme
implemented.
advertising and
promotional material
outreach etc.)
1.5 Preparation and submission of an Annual
Report on the state of records in MDAs, by
JARD, to the MoEYI and the Parliament;
MDAs to conduct annual records stock
taking
Storeroom records management systems
to be installed
Train staff in records inventory
Preparation of Annual Reports by JARD and
submission to MoEYI.
MoEYI to review and prepare for
submission to Cabinet and ultimately the
Parliament
Inventories submitted by
Government institutions
on or before 31st March
of each year.
JARD Annual Report
tabled FY 2019/2020 &
ultimately, within
legislated timeframe post
2021.
Storeroom records
management systems
installed
MDAs, JARD,
MoEYI
Additional Officers
needed to deal with
backlog in inventory.
Resources for
acquisition and
installation of records
management system
and training of staff.
Inventory:
JARD,
Classes 3 &
4-
FY 2017/
2018
Inventory:
JARD,
Classes 1 &
2
FY 2018/
2019
JARD
Annual
Report
2019/2020
JARD,
Classes 1
Invent-
ory JARD
& All
Classes
All
Classes
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JARD, Class 4
- FY
2017/2018
&
Class 3 - FY
2018/2019
& 2 FY
2019/
2020
1.6 Adherence, by all MDAs, to existing legislative
requirements
JARD to compile and distribute applicable
legislation and regulations through MDA’s
RIM Committees
Annual audit of compliance with legislation
Legislation and
Regulations distributed
to all MDA RIM
Committees. On-going
from FY 2018/2019.
JARD Staff trained in
audit procedures FY
2020/2021
Annual Audits
commenced in FY
2019/2020
JARD, DDIAS
JARD
Online version/printing
cost
Financial resources for
training
Audit teams (internal
and external to JARD &
MDAs)
JARD & All
Classes
JARD
JARD & All
Classes
JARD &
All
MDAs
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JARD, AuGD,
MoEYI, Internal
Audit
JARD
Classes 3 &
4
JARD & All
Classes
JARD &
All
Classes
1.7 Establishment of an effective system for
monitoring of RIM in MDAs and the institution of
rewards and recognition schemes as well as the
application of appropriate sanctions.
JARD to conduct compliance visits.
Public recognition to be given to
conforming MDAs
Appropriate administrative sanctions to be
outlined (in legislation) and applied to deal
with cases of non-compliance.
Compliance visits
Reports submitted to
MoEYI
MDAs awards and
recognition
programmes
implemented
MDAs sanctioned for
non-compliance
JARD, MoEYI, OoC Staff time to compile
report and resources for
rewards and recognition
scheme
JARD & All
Classes
JARD & All
Classes
JARD &
All
Classes
1.8 The auditing of records and information
management systems of all MDAs, for efficiency
and effectiveness by the Archivist and/or the
Auditor General’s Department at least once every
two years;
AuGD to include assessment of RIM
systems as part of audit processes.
Training of AuGD staff to conduct audit of
the efficiency and effectiveness of RIM
systems.
AuGD’s Audit reports on
RIM programme.
AuGD, JARD,
MoEYI
Resources for training of
AuGD staff
JARD &
Classes 3 -4
JARD & All
Classes
JARD &
All
Classes
2. KRA 2: Organisational Structures and Human Resources for RIM
Outcome: Efficient RIM services delivered by trained and experienced RIM professionals in JARD and the MDAs
2.1 It shall be mandatory for RIM staff, including
heads of RIM, to have formal qualifications in
records and information management on
recruitment and if already appointed, such
qualifications to be obtained within a designated
timeframe.
Review of recruitment requirements for
RIM Staff and make it mandatory to have
RIM qualification on entry
Accommodate, where feasible,
programmes of study for under-qualified
appointed/temporary RIM staff
75-90% RIM staff
operating within JARD &
MDAs, qualified by FY
2020/2021
JARD, MFP, MoEYI,
OoC, Office of the
Services
Commission,
MDAs
Resources for bridging
programmes for
currently employed staff
Classes 3 -4
JARD & All
Classes
JARD &
All
Classes
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Review civil service recruitment policies
and procedures
90-100% RIM qualified
staff in MDAs post 2021
2.2 The Strategic Human Resource Management
Division (SHRMD) of the GoJ will review and
make adequate provision for career
structures/pathways, that provide entry levels
into the records and archives profession at MDA
levels and for progression through the ranks to
higher positions, as competencies, volume and
complexity dictates.
Review existing career pathways for RIM
staff
Develop and implement appropriate
pathways for RIM staff
JARD to coordinate with training
institutions to provide training at para-
professional and professional levels
Career pathways in place
for the RIM profession by
FY 2020/2021
JARD, MFP, MoEYI,
OoC
None
2.3 The RIM job functions in the MDAs, including
DDIAS positions, shall be streamlined in terms of
job classification and pay scales and any existing
anomalies are to be addressed to ensure
occupiers of RIM related posts are in fact
executing the appropriate functions.
Review job descriptions of RIM positions,
including DDIAS positions
Standardise the job classification and pay
scales
Standardised job
classification and pay
structures in place by FY
2019/2020
JARD, MoEYI, OoC,
MFP
Possible budgetary
requirements arising
from re-classified jobs
2.4 The position of DDIAS (or its equivalent) shall be
no lower than the third tier in the organisational
structure.
Review the DDIAS positions and ensure that
they are no lower than the third tier
All DDIAS positions no
lower than the third tier
as at 2020/2021
MDAs Resources to re-design
the structure.
2.5 Capacity audits will be conducted in each
institution to determine the number of staff and
competencies required
Conduct capacity audit in MDAs
Structure MDAs in keeping with results of
capacity audit.
40% of MDAs with staff
commensurate with their
size and complexity by FY
2020/2021
MDAs Resources for
conducting the reviews
and capacitating MDAs
Classes 3 &
4
All
Classes
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90%-100% of MDAs with
staff commensurate with
their size and complexity
by FY post 2021
2.6 RIM Committees to be activated to serve MDAs. Create/activate RIM Committees in all MDAs RIM Committees in all
MDAs activated by FY
2019/2020
JARD, MDAs No resources needed JARD & All
Classes
2.7 JARD, as both a RIM service provider and (de
facto) regulator with respect to MDAs, shall
recruit and appoint employees at the
professional level, who have records and/or
archives qualifications and the appropriate years
of experience in records, archives and library
management.
Assess the existing qualifications of the
JARD staff and match with the job
requirements
Determine the skills gap and arrange for
staff to acquire the requisite qualifications
over the next five years
Reduction of % of JARD
Staff without
qualifications and skills.
JARD, MoEYI, OoC,
MFP
Resources for the
training of JARD staff
JARD JARD
2.8 JARD shall be restructured and posts re-classified
so that it can discharge its mandate as both a
service provider and ‘regulator’ for MDAs.
Review the organisational structures of
JARD to transition to National Archives
with capacity to lead in RIM and monetise
cultural assets
Implement new/revised
organisational structure.
Re-structured JARD by FY
2021
MoEYI, OoC, MFP,
JARD
Financial implications
arising from the re-
structuring and fit- for-
purpose infrastructure
(including new building)
requirements.
2.9 JARD shall provide input to the Strategic Human
Resource Management Division as required, in
the periodic training needs assessments
conducted for RIM across the GoJ and shall
systematically engage with stakeholders to
ensure that facilities exist to provide training and
capacity building for RIM.
JARD to provide input to the Strategic Human
Resource Management Division (SHRMD) in
designing Training Needs Analysis
RIM Training Needs
Assessments conducted
across Government every
three years
SHRMD, JARD,
MDAs
Resources required for
research
76 | P a g e
2.10 It will be necessary for current JARD staff
without registry experience to be attached to
registries to gain an appreciation of the actual
systems in use and the relationship of the
registries/documentation centres with the
users.
Identify JARD staff needing registry
experience
Arrange the attachments to registry
accordingly
Inexperienced JARD staff attached to MDAs registries commencing FY 2020/2021
JARD, MDAs No additional resources
required except in
instance of acting
arrangements
2.11 Efforts shall be made to ensure that the RIM
enterprise has the resources and skills for the
management of large volumes of digital records
by either acquiring those critical skills or training
existing internal resources to meet the
requirements through a well-defined ICT
learning program.
Implement capacity building programme
JARD & MDA RIM staff
with core ICT RIM related
skills by FY 2021.Ongoing
capacity building.
Capacity building
programme
implemented in all JARD
& MDAs.
MDAs, JARD Resources for
developing and
administering the
training programmes
JARD & 20%
of All
Classes
JARD & 40%
of All
Classes
JARD &
100% All
Classes
3. KRA 3 REFORM OF JARD’S INSTITUTIONAL FRAMEWORK AND INFRASTRUCTURE
Outcome: A Modernised JARD with Capacity to Discharge its Mandate
3.1 Reorganise JARD as an autonomous public body
with a formal Management Board, empowered
to earn income independently of the public
purse
Conduct organisational review of JARD
Re-constitute JARD as an autonomous
public body and as a National Archives.
JARD restructured as an
autonomous entity by FY
2021/ 2022
JARD, MoEYI, OoC,
MFP
Resources to re-organise
JARD as a National
Archives
New
institutional
framework
in place
Full
implement
ation by
2020/ 2021
3.2 Reconfigure the Archives Advisory Committee
which will update and advise the Responsible
Minister on matters of a technical nature
relating to official records and access as well as
major strategic policies related to RIM (such as
disposition of official records).
Reconfigure composition of Archives
Advisory Committee
Appoint members of the Archives
Advisory Committee according to new
legislated requirements.
Legislative amendments
Reconfigured Archives
Advisory Committee in
keeping with legislative
provisions
JARD, MoEYI, OoC Resources required to
amend legislation
77 | P a g e
3.3 Resource JARD as the Secretariat for the
Archives Advisory Committee;
Provide budgetary support to JARD to
convene meetings of the Committee.
Ensure staff capacity is sufficient to carry
out Secretariat functions of the Archives
Advisory Committee.
Resourced JARD able to
service Archives Advisory
Committee by FY
2019/2020
MoEYI, OoC, JARD Financial resources to
establish and
operationalise the
Secretariat and to the
Archives Advisory
Committee
JARD
3.4 Provide the initial capital outlay for the
establishment of a modern National Archives
over the medium term (2016-2021) and
formulate a Road Map for implementation
Preparation of a costed detailed plan and
Road Map spanning 2016 - 2021 for
submission to MoFP and Cabinet
Implement alternate funding strategies
(e.g donor funds etc.)
Procure relevant goods and services in
keeping with Plan (e.g legal services to
treat with land acquisition and
engagement of other services (e.g
architectural)
Road Map and Budget for
establishment of National
Archives prepared
2019/2020
JARD’s Road Map
implemented
MoEYI, OoC,,JARD,
MoFP, NLA, NWA
Initial capital outlay for
JARD
1st tranche
of funding
received FY
2017/
2018
National
Archives
establish-
ed
Full
impleme
ntation
3.5 Develop and implement a Change Management
and Communication Programme within JARD.
Prepare Change Management and
Communication strategy for JARD
On-going implementation of Change
Management and Communication
JARD Change
Management and
Communication Strategy
developed FY 2019/2020
Change management and
communication
programme implemented
FY2020/2021
JARD, OoC, MoEYI Resources for strategy
development meetings
and required materials
for the change
management
programme.
78 | P a g e
programme in keeping with the change
management and communication schedule.
4. KRA 4 RIM Systems
Outcome: GoJ records managed in accordance with international standards including ISO15489
4.1 Acquisition, Access, Use and Preservation of Official Records and Archives
4.1.1 Re-double efforts to acquire both public and
private archives (including audio visual archives),
process, preserve and make them available for
public use
Review JARD acquisition policy
Map out parameters for proactive
acquisition of archives and document in
an Acquisition Policy
New Acquisition Policy in
place by FY 2019/2020
Parameters for acquisition
of archives established FY
2019/2020
JARD Resources needed for
dedicated staff to focus
attention on identifying
potential archives
Resources needed to
acquire archives,
negotiate terms and
enter into contractual
agreements
4.1.2 Prioritise the acquisition of audio-visual records
from MDAs over the next five years
Prepare and issue guidelines for the
acquisition and transfer to JARD of MDA
audio-visual records and the management
thereof.
Guidelines for the
acquisition, transfer and
management of MDAs’
audio-visual records issued
JARD by FY 2019/2020
JARD Resources for
interactions with MDAs
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Establish system/mechanism for the
collection of MDA audio-visual archives.
Mechanism for collection
established 2019/2020
4.1.3 Ensure that the public and private archives are
preserved, protected and secured (in keeping
with international standards) against any
potential hazards or threats, capable of
damaging, manipulating or altering their
structure or content, and that such preservation
shall safeguard the integrity of the archives
Attain and maintain ISO certification of the
archives and its systems.
ISO certification attained
by 2021
JARD Resources for technical
assistance, and
conforming JARD to ISO
standards
4.1.4 Develop and implement a public education
campaign to encourage non-MDAs as well as
citizens and other individuals to deposit records
that have national significance and historical
value. Each year, at least 5% of archives
accessioned shall be from non-Government
sources;
Develop and implement national
awareness programme.
Increase private collection
annually by at least 5%
commencing FY 2019/
2020
JARD, OPM (Public
Affairs and
Communicat-ions
Unit)
Resources for mounting
acquisition campaigns
and space to house the
private collections
4.1.5 Require public sector institutions which are to be
transferred or are due to close, to give
reasonable notice to JARD of the records or
archives being submitted to JARD, in advance of
closure or transfer of the entity (i.e three
months’ notice or where this is not feasible, as
soon as practicable after the decision to close or
transfer the entity is taken ) so that there may
be a planned and systematic transfer and
accommodation of these records or archives;
Incorporate into MDA RIM Procedurel
Manuals, requirement for advance
notification to be given to JARD about
closure or transfer of an MDA.
Issue JARD circular to MDAs regarding
requirement for advance notice in
instances of change, transfer or closure of
MDAs
RIM Procedure Manuals
assigning responsibility for
advance notification of
JARD by FY 2019/2020
Circular issued by FY
2018/2019
JARD, MoEYI,
MDAs
No additional resources
required
4.1.6 Develop and implement strategies to encourage
use of the archives by the Jamaican public as well
as regional and international clients.
Develop business proposal to include: Business proposal
including implementation
JARD, MoEYI &
OcC, OPM (Public
Affairs and
Resources for technical
expertise and acquiring
ICT requirements for
80 | P a g e
costed Communication Plan for
encouraging use of archives by
the public:
embedded strategies for the
utilisation of electronic access
revenue generation mechanisms
and projected earnings from
same, outlined.
Implement Plan
plan submitted by FY
2020/2021
Awareness campaign
launched FY 2018/201
Implementation of
approved proposal by
2021
Communications
Unit)
online and other
services.
Other resources for
mounting e campaigns
and increasing public
awareness via media
etc.
4.1.7 Adequately utilise appropriate technologies, for
the preservation of digital records to ensure
long-term accessibility and availability.
Develop migration policy for digital records
and archives
Acquire technology required for the long-
term preservation of digital records
Migration Policy for digital
records and archives by FY
2019/2020
Costed technology
acquisition plan by FY
2019/2020
JARD Resources required for
periodic migration of the
digital records and
acquisition of relevant
ICT
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Technology acquired as
per aschedule/plan
commencing FY
2020/2021
4.2 RIM Committees and other Key Supporting Structures and Mechanisms in MDAs
4.2.1 The RIM Committees shall be constituted, at the
Ministry level, and shall be chaired by a member
of the Senior Management Team designated by
the Permanent Secretary. The DDIAS of the
Ministry shall perform the Secretariat functions of
the Committee
RIM Committees to be constituted in
each Ministry with Senior officer
appointed as Chairman.
DDIAS to provide Secretariat services
Functional RIM
Committees in each
Ministry by 2018/2019
MDAs, JARD,
MoEYI, OoC,
Resources for JARD to
support the setting up of
RIM Committees and to
provide oversight on
their functioning
JARD & All
Classes
4.2.2 The RIM Committees shall include
representatives from the legal and IT
departments of the Ministry, one representative
from the administrative department and one
representative from the technical departments
of the Ministry.
RIM Committee appointments done in
keeping with stipulated representation (e.g
IT, legal etc.)
Representative RIM
Committees by FY
2018/2019
MDAs No additional resources
required
4.2.3 The core Terms of Reference for RIM
Committees shall be set out by Administrative
Circular to be issued by JARD from time to time,
in consultation with the MDAs, to include the
following minimum functions:
development of internal RIM Policies and
RIM Procedure Manuals (to include the
treatment of e-RIM and audio visual
records);
development of retention and disposal
schedules;
development of internal classification
protocols which are compatible with the
Prepare and issue the Administrative
Circular with RIM Committee TORs.
Core RIM Committee TORs
circulated by FY
2018/2019
JARD, MoEYI,
MDAs
No additional resources
needed
82 | P a g e
established GoJ classification scheme as
existing from time to time;
provision of advice, as needed, with
respect to the provision of access to
official records to the public in accordance
with the ATI Act and any other law;
provision of advice on the roles and
responsibilities to be ascribed various
categories of staff;
oversight of MDA’s compliance with GoJ
and internal RIM policy and procedure
manuals; and
serve as a point of contact for JARD on RIM
matters, particularly, the implementation
of the GoJ RIM Programme.
4.2.4 Each Department and Agency in the Ministry
shall have its own RIM Committee which shall
liaise with the portfolio Ministry RIM Committee
as needed and for reporting purposes.
Establish RIM Committees in Departments
and Agencies in consultation the parent
Ministry and provide for training.
Reports from Departments and Agencies
submitted to the RIM Committee in the
parent Ministry.
Functional RIM
Committees in each
Department and Agency
and reporting commenced
FY 2018/2019
DAs Resources to set up and
train the RIM
Committee on RIM
4.2.5 The RIM Committees shall meet at least twice a
year and Minutes of the RIM Committee
meetings shall be compiled and maintained.
DDIAS and Records Managers to prepare
annual meeting schedules and ensure
Minutes are kept
RIM Committee meetings
being held regularly and
minuted by FY 2019/2020
MDAs Resources for hosting
the meetings
4.2.6 Each year, a meeting shall be convened by the
Chair of the Ministry’s RIM Committee which
shall be attended by at least one representative
from each Department and Agency of the
Ministry.
DDIAS to organise the annual meeting to
include Department and Agency
representation
Annual general meetings
held with representatives
from Departments’ and
Agencies’ RIM Committees
commencing FY 2019/
2020
MDAs Resources for convening
the meeting
4.3 Creation, Capture and Registration of Records
83 | P a g e
4.3.1 All records created or received in the normal
course of business by any Government
Institution or employee shall be the property of
the GoJ and shall be captured and registered into
a recordkeeping system. This shall include
electronic and audio-visual records.
Staff apprised of responsibilities for
records, to include creation, capture and
registration.
Handover/takeover procedures to
include schedule of paper and electronic
records
Staff sensitised about RIM
and handover/takeover
schedules by FY
2019/2020
JARD, MoEYI, OoC,
MDAs
Resources for
sensitisation sessions
and required material
4.3.2 All records’ creators and users shall be aware of
the distinction between records and non-
records. Once captured and registered into the
recordkeeping system, records shall not be
altered.
RIM procedures detailing distinction to be
issued to all staff (by way of RIM Procedurel
Manuals)
All staff of MDAs provided
access to relevant RIM
Procedure Manuals by FY
2019/2020
JARD, MDAs Resources needed for
distributing the RIM
Procedure Manual
4.3.3 Officers shall be required to work on the
network drives and save the information either
in the shared folders or individual folders on the
network as determined by MDAs’ e-RIM policies
and procedure manuals.
MDAs to develop and circulate e-RIM
policies and procedure manuals to guide
officers on utilising network drives and
shared folders and to acquire/improve IT
systems.
MDAs’ e-RIM policies
developed in 2019 -2020
All GoJ e-records created
and stored on network
drives over the period post
2021.
JARD, MoEYI, OoC,
MDAs (IT Units)
Resources to increase
network capacity
Classes 3 &
4
Classes 2-4
All
Classes
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4.3.4 Document naming conventions shall be used for
electronic records as per the guidelines that will be
issued by JARD from time to time.
GoJ RIM Procedure Manuals specifying
document naming conventions, to be
developed and issued to creators.
Periodic inspections conducted by
DDIAS/Records Managers
60 – 80% increased
compliance with naming
conventions by FY
2019/2020
Inspections conducted by
DDIAS/Records Managers
on an on-going basis from
FY 2019/2020
MDAs (DDIAS) &
JARD
Resources needed for
distributing Procedurel
Manuals and staff time
to conduct inspections.
Classes
3and 4
All Classes
4.3.5 All officers creating records, shall ensure that
they create records that are complete, accurate
and contain sufficient information and details to
enable them to provide authoritative and
authentic evidence of the transactions that they
represent (i.e Metadata).
RIM Procedure Manuals to specify
metadata recording procedures.
Training regarding recording metadata.
Periodic inspections to be conducted
Adherence to meta data
recording requirements
increased by 60 - 80% by
FY 2019/ 2020 & by 81% -
100% post 2021.
Inspections conducted in
keeping with schedule.
Training of staff by FY
2019/2020
MDAs Resources for training JARD and
Classes 3 &
4
All Classes All
Classes
4.3.6 The medium used when creating records shall be
that which promotes long-term preservation,
retrieval and usability of the records.
JARD to periodically issue guidelines to
MDAs regarding long-term preservation
medium.
Guidelines issued to MDAs
by FY 2019/2020 and as
needed thereafter.
JARD Resources for research
4.3.7 JARD shall define standards and give guidance to
ensure that sustainability issues are adequately
addressed as part of the planning, creation, and
active management of electronic records. These
JARD to periodically issue guidelines to
MDAs regarding sustainability issues.
Guidelines issued to MDAs
on management of
electronic records by FY
JARD Resources required for
enforcement of
practices inclusive of
compliance visits to
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may include guidelines on such issues as file
formats and other technology selection issues,
metadata standards, and wider information
management standards
Conduct compliance assessment visit
2019/2020 and from time
to time thereafter.
Compliance visits
conducted and report
prepared in keeping with
schedule.
monitor adherence to
guidelines
4.3.8 All MDAs shall include RIM awareness in their
staff induction programmes and the RIM
Procedure Manuals shall be made available to
all staff either through the intranet or on the
shared drives of each department/section/unit.
RIM awareness/sensisation is part of MDAs
induction programme.
Induction programmes
revised by 2018/2019 and
implemented on an on-
going basis.
MDAs, JARD Print and electronic
version of RIM manual
and other sensitisation
material
All classes All classes All
classes
4.4 Classification and Indexing
4.4.1 All MDAs shall adopt and use the GoJ Functional
Based Classification Schemes based on the
classification of the business activities of the
entity. However, for purposes of uniformity, all
MDAs will be required to start with the common
types of functions before the institution specific
functions.
DDIAS and Records Managers in each entity
shall create, control and manage the Master
classification schemes and institution
specific functions.
Function based Master
Classification Schemes
developed by JARD in FY
2015/2016
Institution specific
functions adapted from
GoJ Master Classification
scheme by MDAs by FY
2018/2019.
JARD, MDAs Resources needed for
training to be provided
to JARD and MDAs on
function based
classification scheme
JARD & All
Classes
4.4.2 The classification schemes shall be used to
develop institutional Master File Plans which
shall apply to both paper and electronic records.
Records surveys to be conducted,
registries and offices to be decongested
Records restructured and
classified as per the new
functional based
classification scheme by FY
MDAs Resources for training
on records surveys and
Classes 3 - 4 All classes
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and records to be re-structured and
classified thereafter
2019/2020 and as per
schedule
restructuring of the
classification schemes
4.4.3 The Master File Plans shall be prepared at
records series and sub-series levels and shall
mirror the main functions and sub-functions of
the organisation
Develop Master File Plan in keeping with
classification schemes for paper and
electronic records
Master File Plan
developed by FY
2019/2020
MDAs See 4.4.2 above
4.4.4 The Master File Plan in each institution shall be a
controlled document which, after internal
approval, shall be submitted for approval by the
Government Archivist and which shall only be
changed with the approval of the latter.
Submit the draft Master File Plans for
internal approval
Submit the plans to JARD for review and
approval
Approved Master File
Plans by FY 201/2020
MDAs, JARD No additional resources
needed
4.4.5 Beyond the Master File Plan, there shall be
flexibility in terms of which records, series and
sub-series to expand and expound, depending
on the detailed functions and activities of the
particular department, unit or office.
See 4.4.3 above See 4.4.3 above See 4.4.3 above See 4.4.3 above
4.4.6 All officers that generate, receive and maintain
records in their offices (paper and electronic)
shall be required to classify the records as per
the File Plan of the institution.
All registries and offices shall be converted
to the function based classification scheme
Function based
classification being utilised
in all registries and offices
of MDAs
MDAs Resources will be
required for training and
compliance
enforcement
4.4.7 JARD will issue guidelines for the treatment of
classification of audio visual records having
considered:
JARD to prepare and issue guidelines for
the classification of audio visual records
in MDAs
JARD to issue standards for arrangement
and description of audio visual records
Guidelines and standards
for classification of audio
visual records issued to
MDAs by FY 2019/2020
JARD Resources for
developing the
guidelines and
standards
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the outcome of the National Library’s
deliberations relative to standardised
cataloguing of AV materials; and
the standard(s)to be used and the
automated platforms required to support
them.
Schedule roll out of the Audio visual
classification scheme
4.4.8 Records shall be indexed as per the guidelines
provided in the RIM Procedure Manual of the
GoJ and the MDA.
Preparation of MDAs indexes for use by the
institutions
File Lists in registries
indexed to facilitate
retrieval by FY 2019/20
MDAs Resources will be
required for training
Classes 3 &
4
All Classes
4.4.9 All registries will maintain complete inventories
of MDA records.
MDAs to prepare and maintain inventory
lists of all electronic, paper and audio-visual
records
Paper and electronic files
with inventory lists by FY
2019/2020
MDAs
No additional resources
needed
Classes 3 &
4
All Classes
4.5 Storage and Maintenance
4.5.1 JARD and MDAs shall be provided with the
buildings, office space, records storage space,
shelving, RIM supplies, reprographic and
conservation equipment, information
communication technologies and other resources
necessary for the safekeeping of the records and
archives in keeping with the goals and the
objectives of the RIM Programme over the
medium to long term and JARD, over the period
2016 – 2021
Needs assessment to be conducted to
quantify and cost RIM infrastructure and
other resource needs for each MDA
JARD and MDAs’ needs are integrated
into yearly capital budgets
Requisite infrastructure
and resources provided for
the RIM function over FYs
2018 - 2021
MOFP,MDAs,
JARD, MoEYI, OoC
Resources needed to
overcome deficits
identified during the
RIM Assessments
conducted in 2010 and
2012
Retrofitted Building to
house Gvt. Records
Centre, Audio-visual
Unit and Archives Unit.
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4.5.2 Records storage arrangements shall take into
consideration the format, media, nature and use
of the records, as well as migration requirements
in the case of electronic and digital records.
JARD to continuously research changing
technology for electronic and digital records
and provide periodic guidelines for
migration of records.
Guidelines on migration of
records prepared and
issued, the first no later
than FY 2018/2019.
JARD Resources for research
and migrating records.
4.5.3 Adequate storage space and facilities shall be
provided to cater for current records in the
registries and operational areas in the short term.
All MDAs to conduct assessment of storage
requirements for current records and to
develop strategies to meet the
needs/requirements.
Assessments completed
and strategies
implemented for storage
of current records by FY
2019/2020
MDAs Resources for records
storage facilities
All Classes
4.5.4 Each MDA shall provide appropriate storerooms
and strongrooms, with appropriate shelving and
other equipment for the storage and
management of semi-current records.
All MDAs to conduct assessments of
storage requirements for semi-current
records and develop strategies to meet
the needs
Storerooms to be put in place
See 4.5.3 above MDAs Resources for records
storage facilities
All Classes
4.5.5 Non-current records, both paper and electronic,
shall be transferred to the custody of the
Government Records Centre, and, in the case of
electronic non-current records, transferred to a
designated repository under JARD’s
custodianship.
JARD to make arrangements for the
receipt and storage of electronic records
JARD to develop its capacity to manage
paper and electronic records transferred
to its custody
JARD in-house/out-
sourced facilities for
storing electronic and
paper records and archives
by FY 2019/2020
MOFP/JARD Resources for the
facilities for storage and
maintenance of records
and archives
4.5.6 JARD’s ICT infrastructure shall be at a level
equivalent to or higher than the MDAs and JARD
shall maintain, or make arrangements to
maintain, multiple redundant copies of
electronically archived records, through
appropriate replication and backup processes.
Source/build and improve JARD’s ICT
infrastructure so that it is equivalent to or
better than that in the MDAs.
see 4.5.5 MOFP/JARD Resources, including
storage facilities for
electronic records, are
required to be able to
provide this service
4.5.7 At least one complete set of backup copies shall
be maintained at a remote secure facility,
located at least 100 kilometres from the main
archive centre. The viability of backup copies,
Build or utilise a Data Recovery Centre (DRC)
away from Kingston
Disaster Recovery Centre
established according to
standard by FY 2018/2019
MOFP/JARD Resources required for
contracting, setting up
and maintaining the
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including the ability to restore from backups,
shall be periodically tested.
Disaster Recovery
Centre
4.5.8 Preservation requirements for records and
archives shall be incorporated into JARD’s and
MDAs’ Incident Management Framework and
Business Continuity Planning process to ensure
the continued availability or restoration of all
stored records in the event of an incident or
disaster. The relevant plans shall be periodically
tested through appropriate types of disaster
recovery exercises.
JARD to prepare Incident Management
Framework and Business Continuity Plans
Periodic testing of the disaster recovery
systems
Incident Management
Framework and Business
Continuity Plans
developed and
implemented by FY
2020/2021
JARD Resources for planning
and preparing the
required framework and
plan. Resources to
implement
JARD &
Classes 3 &
4
Classes 1
&2
4.5.9 MDAs shall be required to have clearly
articulated environmental standards and
controls for records and archives.
JARD to prepare and issue standards for
environmental controls for records and
archives
Each MDA to extract and prepare its own
environmental standards for records and
archives
Environmental standards
for records and archives FY
2020/2021.
JARD, MDAs Resources required to
ensure the RIM
infrastructure and
working conditions
meet the environmental
requirements
4.5.10 MDAs and JARD shall make provision for (on the
establishment or by outsourcing) securing
expert advice with respect to compliance with
the relevant environmental standards and
controls for RIM and for taking the appropriate
steps recommended, after the conduct of
environmental audits and other inspections .
Procurement of RIM environmental
services
Implementation of recommendations
made by environmental expert
Proposal made and
recommendations
Implemented FY
2019/2020
JARD, MDAs Resources for
contracting the expert
and implementing the
recommendations
JARD All classes
4.6 Security, Access, Use and Tracking of Records
4.6.1 The design and acquisition of software which will
enable the establishment of an electronic central
Discussions with stakeholders to be held
and various options explored
GoJ e-archive facility
established post 2021
JARD, MoEYI, OoC,
MDAs
Resources for initiating
the process, acquiring
JARD
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registry will be pursued over the medium to long
term.
Requirements specifications to be
developed
Central e-archive (in-house/outsourced)
established
and establishing the
facility
4.6.2 Procedures for access and use of all records shall
be developed and enforced, and shall define
access and authority controls, stipulating which
officer can have access to what records and
which access rights shall be enforced within the
recordkeeping system.
Develop MDA Policy and Procedurel
Manuals which include procedures for
controlling access to records
Implementation of access control
standards
Procedures for access
control developed and
implemented in all MDAs
commencing FY
2019/2020 (on-going
thereafter)
JARD, MDAs No additional resources
needed
JARD &All
Classes
4.6.3 To facilitate granting of access rights, records shall
be security classified and categorised according to
their level of sensitivity. Records that are
restricted shall be boldly stamped or
watermarked to reflect their access status. JARD
in consultation with the office of the CIO will
develop Guidelines for these purposes.
MDAs to implement GoJ's security
classification rules and procedures to
categorise records and determine access
permissions
Security classification and
categorisation of records
determined, made widely
available and utilised
throughout the GoJ by FY
2019/2020
JARD,MDAs Resources for
circulating rules and
procedures.
JARD and All
Classes
4.6.4 Appropriate systems shall be developed and
used for the tracking of paper and electronic
documents and records. This shall include both
action and location tracking.
Develop RIM systems for action and
location tracking
Action and location
tracking systems
established and
implemented by FY
2019/2020.
JARD, MDAs No additional resources
required
JARD & All
Classes
4.6.5 All e-RIM systems shall provide for audit trails
and/or event logs to record all actions applied on
e-records within the system, the time, dates and
persons responsible for the actions.
MDAs to include RIM ICT systems which
provide audit trails
ICT systems in MDAs
compliant with standard
for audit trails by FY
2020/2021.
JARD, MDAs No additional resources
required
FY 17/18
Class 4
FY 18/19 -
All classes
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JARD & all
classes with
ICT system.
4.6.6 Public access to all government records shall be
governed by the legislative regulations relating
to access and provision of information to the
public.
Archives legislation to be reviewed and
aligned to Access to Information legislation
Archives Act aligned with
Access to Information
legislation
FY 2020/2021.
JARD, MoEYI Resources required to
contract experts to
review and align
legislation
4.7 Records Disposition
4.7.1 No official records shall be destroyed without
the approval of the Archives Advisory
Committee (AAC).
AAC to be re-activated and to meet
regularly
A sub-committee of the AAC to be
constituted to conduct the appraisal of
records and make recommendations to
the AAC
Functional Archives
Advisory Committee
working with a sub-
committee for records
appraisal FY 2018/2019
JARD Resources for convening
meetings of the Archives
Advisory Committee and
its sub-committee
4.7.2 The appraisal of records and the preparation of
records retention/disposal schedules shall be
done at the macro-level, i.e. at records series and
sub-series levels.
MDA Classification schemes to identify
records series and sub-series which will be
the basis of the records appraisal process
Records appraisal process
done at records series and
sub-series levels by FY
2018/2019
JARD, MDAs Resources for training
MDAs RIM Staff and RIM
Committees in macro-
appraisal techniques
4.7.3 Non-records shall be defined in the legislation to
refer to documents such as drafts, worksheets,
routine memos, or extra copies created for
convenience or distribution, that have no retention
value and no need for filing. Disposal shall be in an
Non-records to be included and defined in
the proposed new legislation.
Non-records defined in
new legislation by FY
2020/2021.
MoEYI, JARD, OoC Resources for guiding
MDAs to comply with
the legislation and for
distribution of circular
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appropriate and prescribed manner once that
administrative, legal or fiscal use has expired. The
requirements for retention should be sufficiently
flexible so that retention is not a fixed period of
time but may be event driven. and JARD will issue
circulars from time to time, regarding the
treatment of non-records.
JARD to issue circular to guide MDAs in
implementing the legislation (regarding
identification and separation of records and
non-records etc)
Circular to prepare/guide
MDAs for the separation of
records and non - records
to be issued and widely
disseminated FY
2018/2019.
4.7.4 The definition of official records, for purposes of
RIM will be reviewed to embrace all documents,
regardless of form or medium, once
created or received in the course of doing the
business of the MDA, specific reference to e-
records will be considered.
Official records to be re-defined in the
proposed new legislation.
JARD to issue circular to guide MDAs in the
definition and treatment of official
documents pending legislative.
JARD to monitor full implementation upon
promulgation of legislation.
Official records re-defined
in legislation by FY
2020/2021
Circular to sensitise MDAs
regarding the definition
and treatment of official
documents pending
legislative provisions by FY
2018/2019.
JARD monitoring full
implementation upon
promulgation of
legislation.
JARD, MDAs No additional resources
required
4.7.5 The GoJ will develop a Procedure Manual which
will set out the criteria for determining whether
an official record has a permanent or short-term
value and will embed considerations such as:
Develop GoJ RIM Procedure
Manual to guide MDAs in managing their
records
GoJ Procedure Manual &
institution specific
manuals developed and
made available to all staff
by FY 2018/2019 &
2019/2020 respectively.
JARD, OoC, MoEYI Resources for
development of the GoJ
Procedure Manual
JARD & All
Classes
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continuing administrative, legal and financial
value;
context, that is the organisational, functional,
and operational circumstances surrounding
the records’ creation, receipt, storage, or use;
evidential value of an organisation’s
activity(s); and
historical and cultural value.
MDAs to derive their institution specific
RIM Procedure Manuals from the GoJ
RIM Procedures Manual
4.7.6 Records retention/disposal schedules for
categories of records that are common across the
public service shall be prepared and issued by the
AAC and shall be applied by all MDAs.
JARD to identify common records across
the GOJ, prepare schedules and submit
for appraisal by the AAC
Retention/Disposal Schedule for common
records to be issued to MDAs
Retention/Disposal
Schedules for common
records by FY 2019/2020.
JARD, AAC Resources for meetings
of the sub-committee of
the Archives Advisory
Committee
4.7.7 MDAs shall develop institution specific records
retention/disposal schedules in compliance with
the GoJ Procedure Manual and through
consultation with the RIM Committee and JARD.
MDAs RIM Committees conduct initial
appraisal and submit the retention
recommendations to the AAC
Appraisal and preparation of institution
specific retention and disposal schedules
through consultation with, at the first
stage, the RIM Committee of the MDA.
Recommendations from the MDA
regarding records retention/disposal
schedule, submitted to JARD and placed
before a Records Appraisal Committee (a
sub-committee of the AAC).
MDA specific records
retention/disposal
schedules approved by the
Archives Advisory
Committee by 2019/2020.
MDAs, JARD Resources for appraising
MDAs records and for
convening meetings of
the AAC and its sub-
committee
Classes 3 &
4
All Classes
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Final approval by the AACs mandated by
the legislation.
4.7.8 Records of transitory value shall be disposed of by
the MDAs and by JARD in line with the
retention/disposal schedules approved by the
AAC. No record shall remain un-disposed of more
than six months after its due date for disposition.
Conduct records disposition in keeping
with Approved Retention Schedules and
GoJ Policy (to include AAC approval)
Internal Audi to check that records due
for destruction are being disposed of as
scheduled
External audits to be conducted.
JARD to conduct compliance audits.
Records disposed of in
keeping with schedule and
not exceeding six (6)
months post due date by
FY 2019/2020
Compliance monitoring
audits conducted by FY
2020/2021
MDAs, JARD Resources required for
conducting disposal
exercise and compliance
monitoring by JARD
Classes 3 &
4
All Classes
4.7.9 Methods of disposal shall be appropriate to the
type of record and medium, environmentally
friendly and shall preserve the confidentiality of
any information they contain. JARD, in keeping
with decision of the AAC will provide guidance
accordingly.
JARD to issue guidelines on records disposal Records being disposed of
in accordance with
established procedures by
FY 2019/2020
JARD, MDAs Resources for disposal of
records
Resources for
compliance monitoring
by JARD
Classes 3 &
4
All Classes
4.7.10 All official records with archival value shall be
transferred to the custody of JARD where, on
maturation as public archives, they shall be made
available for public consultation, in accordance
with the Archives Act and any disclosure
restrictions that may exist.
Conduct annual records inventories to
identify records which should be
transferred to JARD.
Identification of Confidential records to
be protected from public disclosure
Increased number of
archives transferred to
JARD or held in the MDA
under authorisation by
JARD by FY 2020/2021
JARD/MDAs Resources for the
transportation of
archives to the National
Archives
Classes 3 &
4
All Classes
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4.7.11 All official records with archival value kept by any
repository that may be sanctioned by JARD shall
be maintained in accordance with guidelines and
conditions that shall be set by JARD.
JARD to set guidelines and conditions for
designated repositories of archival
material
Review MDA annual inventory lists to
identify records due /overdue for transfer
to JARD.
Custodial conditions to be imposed on
records that have matured as archives
but remain under the MDAs’ jurisdiction
Records of archival value being kept by MDAs/repositories in keeping with Guidelines and conditions set by JARD by FY 2020/2021.
MDAs, JARD see 4.7.10 Classes 3 &
4
All Classes
4.8 E-Mail Management
4.8.1 E-mails that are used to conduct GoJ business
are official records and shall be captured as
records and managed in accordance with this
Policy.
MDAs to raise awareness, among staff,
about treating and capturing e-mails as
records
Notices issued to staff
regarding the treatment of
e-mails as corporate
records in accordance with
the RIM Policy &
Procedure Manuals by FY
2018/2019.
E-mails managed as
corporate records in
accordance with the RIM
Policy and Procedure
Manuals by FY 2019 - 2020
JARD, MDAs Resources for
training/sensiti-sation of
employees around email
management
All Classes
4.8.2 MDAs shall invest in e-mail management systems
that facilitate the capture and management of e-
mails as official records of the GoJ. Such systems
shall be deployed on government designated
domains.
MDAs to review the capacity of their ICT to
manage e-mails as records and investments
to be made to upgrade the ICT as necessary
to manage e-mails as records
ICT systems with capacity
to manage e-mails as
recordspost 2021
JARD, MDAs Resources required for
accessing &/or
upgrading of the ICT
systems
All Classes
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4.8.3 All e-mails held in the official GoJ e-mail domain(s)
are the property of the GoJ therefore users of GoJ
e-mail systems shall not have any expectations of
privacy.
MDAs to issue notices to staff on an on-
going basis.
80-100% of MDAs’ emails
containing only GoJ
information by FY
2019/2020
JARD, MDAs,
MSTEM
Resources for raising
awareness
All Classes
4.8.4 Use of personal e-mail addresses by public officers
for official business is prohibited where owing to
MDAs’ system constraints/crashes, public officers
have to use alternate e-mail addresses, these shall
be in the name of the organisation, not personal
addresses.
MDAs to prepare and issue guidelines about
e-mail communication.
E-Mail guidelines
regarding use of personal
e-mail issued to MDA staff
by FY 2018/2019
JARD, MDAs No additional resources
required
All Classes
4.8.5 Personal e-mails shall not be considered as official
records and shall not be captured into the
recordkeeping system.
MDAs to issue notices to staff with respect
to the treatment of personal emails
Notices to staff regarding
personal emails issued by
FY 2018/2019.
GoJ ICT systems which
contain only GoJ
information FY 2018/2019
in keeping with widely
disseminated notices.
JARD, MDAs, MSET Resources for raising
awareness
All Classes
4.8.6 E-mails that are deemed to have evidential value
shall remain intact in terms of their structure,
content and context to ensure they remain
authentic and accurate for the entire duration
they are serving business functions.
JARD to prepare and issue guidelines for use
by MDAs, with respect to e-mails containing
evidential material.
GoJ E-mails kept in a
manner that preserve their
structure, content and
context post 2021in
keeping with widely
disseminated guidelines.
JARD, MDAs Resources for raising
awareness
All Classes
4.8.7 RIM Committees in MDAs shall designate levels at
which officer’s e-mails are required to be archived
and preserved as per the CAPSTONE approach.
CAPSTONE approach to email archival to be
utilised in MDAs.
Each MDA, through its RIM Committee and
the Management Team to designate and list
CAPSTONE approach to
email archiving deployed
in MDAs and e-mail
accounts to which same
apply, designated by FY
2018/2019
MDAs, OoC Resources are required
to provide ICTs
necessary, to support
the CAPSTONE approach
(storage capacity and
All Classes
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e-mail accounts that must be archived in
totality as per CAPSTONE approach (subject
to disposal of e-mails of transient value)
inventory thereof
inclusive).
4.8.8 E-mails received by or initiated by public offices,
including attachments, and which relate to the
business activities of public offices of non-
designated e-mail accounts, shall be retained in
accordance with the established records
retention/disposal schedules of the institution, as
approved by the AAC.
Records retention/disposal schedules for e-
mails of non-designated accounts to be
developed and implemented
E-mails retained or
disposed of in accordance
with the MDA’s
retention/disposal
schedules post 2021
JARD, MSET, MDAs No additional resources
required
All Classes
4.8.9 E-mails shall be subject to established access
controls and regulations to protect against
unauthorised or inappropriate access.
Guidelines to be issued by each MDA
regarding access to records
General access guidelines,
issued to staff of MDAs,
inclusive of e-mails by FY
2019/2020
JARD & MDAs Resources required for
production of guidelines
for the institution of
systems control.
All Classes
4.8.10 MDAs shall define categories of information that
may not be transmitted via e-mail.
MDAs to list and provide a schedule of
information that may not be transmitted via
List of information that
may not be transmitted by
e-mail circulated by FY
2019/2020
MDAs, JARD No additional resources
required
All Classes
4.9 Information Sharing
4.9.1 The flow of information and sharing of data within
and across public institutions shall be encouraged
to promote common understanding and
knowledge, inform decision making and improve
service delivery.
The information/data handling/storage
points of MDAs shall be identified and
schedules prepared and distributed to
encourage information sharing pursuant to
the Data Sharing Policy to come.
MDA schedules of
information/data
collection, handling and
storage points identified
by FY 2019/2020.
MDAs No additional resources
required
All Classes
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Sharing to take effect
when Data Sharing Policy
comes into force and in
keeping with related
Implementation Plan and
disclosure requirements
4.9.2 All MDAs shall identify and classify their
information in terms of what can be shared within
the institution, what can be shared with other
public institutions, what can be shared with non-
public institutions, what can be shared with the
public (public information) and what should not
be shared.
Information to be classified in terms of
what can be shared and with whom.
Schedules of the relevant legislation to be
compiled and distributed in the MDAs to
increase awareness and compliance
As at 4.9.1 above.
MDAs No additional resources
needed
All Classes
TBD
4.9.3 Provisions of various legislation governing
disclosure of public information shall be complied
with when sharing information with entities
outside the MDA.
Each MDA to be made aware of disclosure
requirements through compilation of a
schedule of relevant legislation
MDAs complying with
relevant information
disclosure legislation in
terms specified at 4.9.1
above
MDAs No additional resources
needed
All Classes
TBD
4.9.4 Adequate technological infrastructure including
ICTs shall be deployed to facilitate sharing of
information, including but not limited to online
Installed ICT systems to facilitate
information sharing
Requisite ICT
infrastructure by FY
2020/2021
JARD & MDAs Resources to acquire the
requisite ICTs to
JARD, Class
3 and 4
Classes 1 &
2
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sharing. Such technologies shall provide adequate
security for information being shared.
operatinoalise sharing
information.
4.9.5 To promote information sharing and to enhance
decision making within MDAs, a consolidated list
of the file plans and titles of files in the Registry,
departments and individual offices shall be
compiled and published in keeping with the GoJ
RIM Procedure Manual. Any information of public
policy or other relevance or significance, collected
through research or surveys and whose value has
cross-cutting benefits across the public sector,
shall be shared with relevant MDAs in keeping
with this Policy and the provisions of a Data
Sharing Policy to be developed.
Information sharing within the MDA shall be
promoted through compilation of
organisation wide filing schedules that
reflect the totality of records held in the
MDA and can be accessed as per the access
regulations of the MDA
MDA-wide schedules of
records as at 4.9.1 above
MDAs No additional resources
required
All Classes
4.9.6 Procedures shall be developed and enforced for
safeguarding confidential information shared
across MDAs to prevent unauthorised access.
JARD to develop procedures to protect
confidential information which are to be
adopted/adapted and implemented in JARD
& MDAS
Procedure Manuals
detailing treatment of
confidential information in
place and widely
disseminated to staff FY
2019/2020
No unauthorised access to
confidential information in
keeping with established
safeguards by FY
2018/2019.
JARD & MDAs No additional resources
required
JARD & All
MDAs
4.10 ICT for RIM
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4.10.1 Full specifications for ECMs to be made available to
all MDAs by JARD and e-Gov, with the indication
that requirements are to be segmented in
accordance with the ICT maturity level of each
organisation
JARD and E-Gov to issue guidelines for the
RIM software that meets defined ECM
standards
Guidelines and standards
for software that meets
RIM ECM requirements
developed and issued to
MDAs by FY 2019/2020
JARD, E-Gov Resources to build the
required capability for
JARD
4.10.2 MDAs procuring ECM to select from designated
software packages identified by e-Gov and JARD
(e.g. three or four packages) for use by MDAs
JARD and E-Gov to identify suitable
software packages and issue guidelines to
MDAs
List of designated ECM
software developed and
issued to MDAs by FY
2019/2020
MDAs selecting ECM
software packages by FY
2020/2021 in keeping with
JARD/e-Gov list and
according to maturity
level.
JARD,E-Gov &
MDAs
Resources for selecting
suitable software
JARD & All
Classes
JARD & Alll
Classes
4.10.3 JARD to issue circulars/guidelines from time to
time, on such issues as the minimum standards for
records management functionality, having due
regard to guidelines produced by the International
Records Management Trust, the International
Council on Archives and other authoritative
sources on this issue
JARD shall take the lead role in
establishing standards governing the
records management functionality in ICT
systems, reviewing and revising them
periodically.
All information systems shall be designed
and developed, by MDAs, in a way that
addresses the records functionality in the
ICT systems.
Standards for RIM
functionality in ICT
Systems developed and
guidelines issued to MDAs
by FY 2018/2019 for
records management
functionality in ICT
systems
JARD, MDAs Resources for building
the capacity of JARD to
develop the guidelines
that will ensure that RIM
requirements in ICT
systems are considered
4.10.4 JARD to be supported to acquire an automated
Archival Management Solution to automate the
processing of new accessions, re-appraisal of the
records, accrual of materials belonging to existing
JARD to identify the suitable automated
solution for archival management
Archival Management
System identified and
JARD, MoEYI Resources for
identifying, selecting
101 | P a g e
series, management of donors and deeds of gifts,
importation of inputs to the processes, as also the
processing, arranging and collections descriptions
automatically on entering the RIM system. It is
acknowledged that this system would facilitate
linkage from the catalogue to the digital library,
track locations, provide statistical information,
generate and print labels and provide online access
to the collections
Selected software to be installed and
operationalised
software system installed
by FY 2020/2021
and installing
automated system
4.10.5 GoJ to adopt the ISAD(G) standard for archival
description
ISAD(G) in use in the GoJ for archival
description
JARD using ISAD(G) for
archival description by FY
2018/2019
JARD Resources for software
to automate ISAD(G)
4.10.6 GoJ to adopt standards complementary to the DoD
5012 for the ECM and ISO15489 for records
management processes
Standards complementary to DoD 5012 for
the ECM and ISO15489 for records
management to be identified and used as
applicable
MDAs using
complementary standards
to Dod 5012 and ISO 15489
by FY 2018/2019
JARD, MDAs Resources to address
implication for adopting
of complementary
standards
JARD & All
Classes
4.10.7 MDAs to deposit all audio visual materials, which
are official records, to both JARD and the National
Library, whether or not the works are published or
non–published. This will ensure completeness of
MDA records, as required by ISO 15489
MDAs to ensure that complete records are
deposited with JARD, inclusive of audio-
visual records
Complete MDA records
deposited with JARD in
accordance with ISO 15489
as of FY 2018/2019 (on-
going)
MDAs Resources for making
copies of the records for
the National Library
4.10.8 JARD to offer centralised archival services for e-
RIM and for e-Gov to offer hosting services. This
will obviate the need for JARD to undertake
extensive expenditure and investment in staff,
software licenses, and infrastructure
JARD and E-Gov to collaborate to provide
the infrastructure for centralised archiving
of e-records
Centrally archived e-
records post 2021
JARD, E-Gov Resources for setting up
the central archives for
e-records
4.10.9 JARD to develop an over-arching classification, to
be governed at the enterprise level. The
classification system should facilitate the
Development of overarching classification
to be used to facilitate notification for
retention and disposal of records
Records disposition being
enabled by overarching
classification system
JARD, MDAs Resources for
developing and
JARD & All
Classes
102 | P a g e
appraisal of records and preparation of
retention/disposal schedules. The classification
system should embed features supporting
disposal and archival processes (e.g prompts
when records are due for disposition)
developed by FY
2020/2021
implementing the
system
4.10.1
0 MDAs to deploy governance systems at the
enterprise level that would authorise the disposal
and migration of critical RIM ICT systems
MDAs to develop the requisite systems for
disposal and migration of critical RIM ICT
systems
Governance systems at
enterprise level that
authorise disposal and
migration of critical RIM
ICT systems
MDAs Resources to develop
the systems
4.10.1
1
MDAs to recognise the five categories of skills
required to run an optimal RIM enterprise and to
make provision for same. The five categories of
skills are as follows: Registry, Records Centre,
Paper Archive, Digital Archive and Audio Visual
Archive.
Operaationalise optimal RIM Enterprise
within MDAs in keeping with the required
categories of skills
JARD’s ICT staff complement to be
increased and provided with requisite
training to cater for RIM requirements in ICT
systems
MDA RIM Staff with skills
in keeping with the
identified 5 categories by
FY 2019/2020.
Larger and appropriately
trained ICT staff
complement in JARD post
2021.
JARD/MoEYI Resources for bolstering
JARD’s ICT department
and enhancing the skills
of the staff
4.10.1
2
JARD shall develop guidelines and take the lead
role in establishing standards governing RIM
requirements in ICT systems and ensure that any
changes to the requirements are handled
JARD to develop and establish standards
governing RIM requirements in ICT systems
Standards and guidelines
for RIM functionality in ICT
systems by FY 2020/2021.
JARD, MSET & E-
Gov
Resources for
development of the
standards
103 | P a g e
through appropriate governance processes and
shared with all MDAs
4.10.1
3
JARD to develop a RIM Capability Maturity Model
to provide an effective and objective method for
MDAs to gradually gain control over and improve
their RIM processes
RIM ICT Capability Maturity Model to be
developed and used to assess the RIM ICT
maturity levels of MDAs
RIM ICT Capability
Maturity Assessment
Model by FY 2019/2020
JARD Resources are required
for training and
introducing use of the
maturity assessment
model
4.10.1
4
Changes to the RIM enterprise ICT environment
shall be implemented in a timely manner
Heads of RIM to ensure that changes are
implemented in a timely manner
MDAS implementation of
changes to RIM enterprise
ICT environment in
accordance with
developed schedule and at
intervals of no less than 5
years.
MDAs Resources required to
implement the changes
4.10.1
5
Recoverability, redundancy, continuity and
sustainability of RIM in ICT systems to be
addressed at the time of design and must be fully
integrated across the entire organisation as a
required managed process
RIM function to be involved in ICT system
designs/acquisitions to ensure that RIM
needs are addressed
ICT systems that address
RIM needs and are fully
integrated across the
entire organisation by FY
2020/2021
MSET, JARD, MDAs Resources for
integrating RIM
requirements in ICT
systems
4.10.1
6
Affected MDAs to employ Collaborative Case
Management (CCM) approaches, which leverage
the core components of RIM including online
links to case documents for rapid retrieval and
review
JARD to support affected MDAs to employ
Collaborative Case Management (CCM)
approaches
MDAs using Collaborative
Case Management (CCM)
approaches by FY
2019/2020
JARD, MDAs Resources for
developing the
collaborative
approaches
4.10.1
7
MDAs to complement perimeter security with a
measured approach to managing internal
information security by developing prescribed
standards to manage and secure content using
access controls and audit trails
MDAs to also focus attention on internal
information security and develop
prescribed standards
MDAs with prescribed
standards to manage and
secure content using
access controls and audit
trails
MDAs, MSET, JARD Resources for securing
the internal information
security
104 | P a g e
4.10.1
8
JARD will establish a sustainable ICT
infrastructure for electronic and digital
preservation and this shall be managed for as
long as the electronic and digital records
continue to exist
Physical and human capacity of JARD to
provide leadership as well as facilities (in-
house or out-sourced) for the management
of digital and electronic records to be
enhanced
JARD with requisite
infrastructure and facilities
for the preservation of
electronic and digital
records
JARD Resources and funding
required to provide the
infrastructure for
electronic and digital
records
4.10.1
9
RIM ICT architect function to be introduced into
the RIM programme as early as possible to offer
guidance, throughout the phases of the RIM
implementation, on RIM ICT-specific information
which should be gathered, steps which should be
taken, and procedures which should be created.
Architecture decisions related to RIM ICT should
be traceable to policy decisions and their risk
management
JARD to identify and scope RIM architect
function
ICT architect engaged post
2021.
JARD, MOFP,
MoEYI, OoC
Resources for scoping
and engagement of the
RIM ICT Architect
4.10.2
0
JARD shall be involved in the planning of ICT
projects to ensure the new capability not only
meets the business goals and strategic
objectives but also addresses the RIM
requirements. JARD is to be equipped at all times
to intervene at any stage of the development
cycle
Dialogue to be held with MSET to
incorporate consultations with JARD in ICT
project planning processes
Memorandum of
Understanding between
JARD and MSET by FY
2020/2021.
JARD/MSET Human resources to
participate in ICT
planning processes
4.10.2
1
RIM software and hardware shall conform to
defined standards that promote interoperability
for data, applications and technology
Defined standards for software and
hardware developed
Standards for hardware
and software that promote
interoperability for data,
applications and
technology by FY
2020/2021.
MSET, JARD, MDAs Resources for
developing the
standards
4.10.2
2
RIM ICT initiatives shall be conducted in
accordance with the enterprise plan
promulgated by JARD. Individual MDAs shall
pursue RIM ICT initiatives which conform to the
JARD to develop the enterprise plan Enterprise plan developed
by JARD by FY 2020/2021.
JARD Resources to develop
the enterprise plan
105 | P a g e
blueprints and priorities established at the
enterprise level
5. Capacitation of Key Stakeholders
Outcome: Key stakeholders with capacity to implement RIM Policy
5.1 JARD
5.1.1 The responsibility for the coordination and
implementation of the Policy shall rest with JARD.
JARD to build its human and physical
capacity to discharge mandate to
implement the Policy
A modernised,
empowered and
adequately resourced
JARD as per Plan by FY
2020/2021.
JARD, MoEYI, OoC,
MOFP
Resources required for
JARD, including suitable
premises, staff
complement and
training, and operational
expenses to administer
the RIM Policy
5.1.2 JARD shall exercise oversight on the management
of current and semi-current records in MDAs and
for the maintenance and preservation of the
records and archives transferred to its custody.
JARD will hold MDA workshops in MDAs
to raise the awareness of MDAs regarding
its role as mandated by The Archives
(Official Records) Regulations, 1988.
JARD shall carry out compliance
monitoring visits to the MDAS
Awareness workshops
held in MDAs annually by
FY 2018/2019 and MDAs
are in compliance with
regulations
JARD Human and material
resources to reach out
to all MDAs
5.1.3 JARD shall also be the responsible authority for the
File Plans of MDAs and must approve all
institutional File Plans before they can be
deployed.
JARD to build internal capacity and
expertise to oversee and approve MDA
file Plans
JARD analysts without first-hand
experience to be seconded to acquire
first-hand experience of function based
file classification schemes
JARD with staff capable of
overseeing the MDA file
classification schemes by
FY 2018/2019
Secondment of JARD staff
to registries commencing
FY 2020/2021
JARD, MoEYI, OoC, Resources to train JARD
staff. Human resources
to oversee the
classification schemes
106 | P a g e
5.1.4 Control of the destruction/disposal of official
records shall be the responsibility of JARD and
official records may only be disposed of in terms of
Records Retention/Disposal Schedules approved
by the Archives Advisory Committee.
Archives Advisory Committee re-
activated and sub-committee for records
appraisal created
JARD staff trained in records appraisal
An active Archives
Advisory Committee
supported by trained JARD
staff by FY 2018/2019
JARD, OoC, MoEYI Resources to train staff
and AAC members on
records appraisal
5.2 Institutional Responsibility
5.2.1 The implementation of this policy within all
MDAs shall rest with the Accounting Officers of
the MDAs concerned (i.e Permanent Secretaries
or Chief Executive Officers/Managing Directors
of the institutions as may be applicable), through
the RIM Committee.
Training on the requirements of the RIM
Policy provided to Senior Officers in MDAs
around the requirements of the RIM
Policy
Train MDAs RIM Committee members to
implement the requirements of the RIM
Policy
MDA Accounting Officers
sensitised and
responsible officers
trained in RIM and
conscious of the RIM
requirements by FY
2018/2019
JARD, MDAs,
MoEYI, OoC
Resources to train
senior officials of the
GoJ
All
Classes
5.2.2 In each Ministry, direct responsibility shall be
vested with DDIAS, who shall also be responsible
RIM capacity of DDIAS to be enhanced
with JARD and tertiary training institutions
providing training opportunities
Trained and qualified
DDIAS in MDAs by FY
2020/2021
JARD, MDAs,
tertiary training
institutions
Resources to train
DDIAS
Classes
3 & 4
All
Classes
107 | P a g e
for the Departments and Agencies of the
Ministry.
5.2.3 In each Department and Agency, direct
responsibility shall rest with the Records Manager
or equivalent officer
RIM capacity of Records Managers in
departments and agencies to be
enhanced with JARD and tertiary training
institutions providing training
opportunities
Trained and qualified
Records Managers in
MDAs by FY 2020/2021
JARD, MDAS,
tertiary training
institutions
Resources to train
Records Managers
Classes 3 &
4
All Classes
5.3 Responsibility and Accountability of Individuals
5.3.1 All employees shall be accountable for the records
which they create, use or manage and, regardless
of their level, must be aware of their
responsibilities to manage the records created or
used by them, or under their control or custody.
Training of Trainer approach to be
established and used so that MDA registry
staff can train employees in the
management of records, especially
electronic records.
Develop schedule for Train the Training Programme
MDA Registry Staff trained
to train employees in
MDAs in RIM by FY
2019/2020
MDAs, JARD Resources for training
MDA staff
All Classes
5.3.2 All employees shall be responsible and
accountable for maintaining adequate and
complete records necessary to fully document
the business functions, activities, transactions,
decisions and operations.
See 5.3.1 MDA employees
trained/sensitised in RIM
and practising principles
by FY 2018/2019
MDAs, JARD Resources for
training/sensiti-sation
MDA staff
5.3.3 All MDA employees leaving the service of the GoJ
and its Departments and Agencies shall surrender
all or any record in their custody to their
immediate supervisors.
Records to be included in asset schedules of
employees and accounted for on separation
from MDA
Exit interviews conducted
and include hand over of
records in employee
custody commencing by FY
2018/2019 (on-going)
MDAs No additional resources
needed
All Classes All Classes All
Classes
5.4 Responsibility of ICT Departments/Units
108 | P a g e
5.4.1 ICT staff are responsible for ensuring that ICT
systems have records management functionality
and maintaining the technology including
appropriate system accessibility, security and
back up. ICT staff shall ensure that any actions,
such as removing data from systems or folders,
are undertaken in accordance with this policy.
ICT and records and information management
staff have joint responsibility in ensuring that
records generated by ICT systems are
appropriately managed.
ICT Departments to provide the
hardware and software to enable the
RIM function to operate efficiently and
effectively
Constant dialogue (a minimum of
quarterly interface) to be maintained
between MDA RIM units and IT
Departments to acquire and maintain
RIM equipped ICT Systems.
ICT Departments to provide the
hardware and software to enable
the RIM function to operate efficiently
and effectively
Requisite ICT
infrastructure and
systems in place for
management of RIM by
2019 - 2020
JARD, MSET,
MDAs
Resources required to
provide the required
ICT infrastructure
JARD
Classes 3-
4
All Classes
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ANNEXURE I (B)
RIM ASSESSMENT Score Card
Good Adequate Inadequate Poor Score Comments
Governance Framework
RIM Policy □ □ □ □
RIM Procedure Manual □ □ □ □
RIM Committee: Existence □ □ □ □
RIM Committee: Functionality □ □ □ □
RIM Organisational Structure □ □ □ □
Human Resources
Rim Staff Complement □ □ □ □
RIM Qualifications of Staff □ □ □ □
RIM Career Pathways □ □ □ □
RIM Training Opportunities □ □ □ □
110 | P a g e
Good Adequate Inadequate Poor Score Comments
RIM Systems
Classification and Indexing □ □ □ □
Access Controls □ □ □ □
Records Tracking □ □ □ □
Records Retention/Disposal
Schedules
□ □ □ □
Records Disposition Practices □ □ □ □
Storage of Paper Records □ □ □ □
Storage of Electronic Records □ □ □ □
Information Sharing □ □ □ □
Environmental Controls □ □ □ □
Facilities & Maintenance
Paper Records □ □ □ □
Electronic Records □ □ □ □
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Good Adequate Inadequate Poor Score Comments
Vital Records Programme □ □ □ □
Disaster Recovery Programme □ □ □ □
ICT RIM Maturity Level
Assessment Score □ □ □ □
Monitoring and Compliance
Annual Inventory □ □ □ □
TOTAL
Good Adequate Inadequate Poor
Points Designation 4 3 2 1
Maximum Score: 96
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RATINGS:
Score 1 – 25: Starters Score 26 – 50 Aware Score 51– 75 Defined Score 76 – 96: Align
109 | P a g e
NOTATIONS:
Class 1 MDA:
“Starters” are high risk entities that are lacking systems for the management of
records and information, with complete neglect of RIM. The entities are at risk of
significant loss of information, litigation, loss of vital information, and damage to the
entity’s corporate image.
Class 2 MDA:
“Aware” are moderate risk entities that have some systems but there is a general
neglect of records and information management and the entities are operating below
acceptable standards.
Class 3 MDA:
“Defined” are low risk entities that have demonstrated or have implemented the
trappings of a RIM programme and are operating close to acceptable standards, with
some requisite documentation, resource support and infrastructure.
Class 4 MDA:
“Aligned” are no risk entities that have attained or exceeded full compliance with the
ISO 15489 Standard through a composite RIM programme bolstered by the full panoply
of requisite documentation, management support and infrastructure.
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ANNEXURE II
Consultation – List of Attendees
July 27, 2015:
Name Ministry/Department/Agency
Patricia Lindsay Office of the Cabinet
Peter Mazikana K2-Techtop Consult
Tracey Stanley Ministry of Education - Region 3
Annmarie Davidson North East Regional Health Authority
Oral Newman Western Regional Health Authority
Colin Ebanks Administrator General's Department
Amal George Duval Jamaica Tourist Board
Cheree P.A. D'Oyley Family Court Kgn.
Julieth Sewell MoE - Region 3
Yvonne Gardenor Tourism Product Development Company
Shaun McIntosh MoE- Region.6
Jamie Bryan Ministry of Health
Vinnese Dias Ministry of Health – DDIAS
Launa Binns Watson Western Regional Health Authority
Jemilia Davis Office of the Chief Justice - Supreme Court
Joan Dennis Spanish Town Hospital
Dahlea Bernard MoE - Region 2
Venise Beaustock- Murray St Catherine Resident Magistrate - Clerk of Court
Vivienne Wallace Southern Regional Health Authority
Veronica Millen Richards Southern Regional Health Authority
Leovia Fishley-Taylor Registration General Department
Margaret N. Harris Overseas Examinnation Commission
Claudette Jackson Ministry of Health - Planning & Evaluation
Jennifer Henry Martin St Catherine Health Department
Brenda Smith Minister of Justice – DDIAS
Claudette Thomas Office of the Prime Minister/ JARD
Otis Newland Ministry of Health
Dalton Lewis Office of the Director of Public Prosecution
Tyrone Anderson MoE – IT
Samantha Edwards Heart Trust/ NTA
Denise Fray Western Regional Health Authority
D. Stewart Amore SERHA - Kingston Public Hospital
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July 27, 2015:
Name Ministry/Department/Agency
Sharon Gabriel MoE
Marlene Hines MoE – DDIAS
Delia Craige MoE - Region 4
K Simpson JARD
Yvonne Bryan Ministry of Health - Health Records
Rahsaan Tyrell SERHA - IT
Nicolia McDonald Ministry of Tourism and Entertainment - DDIAS
Marlon Palmer College of Agriculture, Science and Education
Jo-Anne Archibald Office of the Prime Minister
Dwayne Cargill Office of the Cabinet
July 28,
2015 Name Ministry/Department/Agency
Bobette Morgan Jamaica Constabulary Force - Dpty. Superintendent
Kerrian Virtue Ministry of Finance and Planning – DDIAS
Lelieth Farquharson MoFP
Valencia Carter Ministry of Labour and Social Security
Kaldren Edwards MLSS
Lisa-Ann Grant MLSS -Work Permit
Dennees Treleven Child Development Agency
Andrew Hutchinson Ministry of Youth and Culture – IT
Yanique Peynado MoFP - IT
Claudette McPherson Ministry of National Security – DDIAS
Donnette Jones Department of Correctional Services
Karl Simpson JARD
Shauna Scott MNS
Lorna Livingston Financial Services Commission
Odean Cole-Phoenix Planning Institute of Jamaica
Nataskie Bennett Accountant General's Department
Elfred Simpson MLSS – Manchester
Janet Coombs MoYC – DDIAS
Edgar Thomas St. Catherine Adult Correctional Centre
Maureen Brady Bank of Jamaica
Nadine Stewart MNS – IT
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July 28,
2015 Name Ministry/Department/Agency
Peivna Manboard MLSS - M&E PATHE
Paula Cobourne Tax Administration of Jamaica
Amin Fagan MLSS - National Insurance Scheme KSA
Samantha Allen Ministry of National Security
Elizabeth Smith Jamaica Cultural Development Corporation
Carla Clarke Statistical Institute of Jamaica
Micheal Bailey JCF - Senior Superintendent of Police
Peter Mazikana K2- Techtop
Dwayne Cargill Office of the Cabinet
Jo-Anne Archibald Office of the Prime Minister
Patricia Lindsey Office of the Cabinet
Claudette Thomas JARD
Muriel Heaven MLSS – IT
Allyson Rent Maxfield Park Children's Homes
Mark Clarke Tax Administration of Jamaica
Stephen Case MNS
July 30, 2015 Name Ministry/Department/Agency
Lennox Bartlett Rural Agriculture Development Authority, St. Elizabeth
Delores Osbourne RADA St. Thomas
Stephanie Matthews Social Development Commission
Colin Moody Office of the Services Commissions
Isoline C. Blair Manchester Parish Council
Pave Gordon Coffee Industry Board
Chez Thomas Ministry of Local Govt & Community Development
Nicholee Henry Downie St. Catherine Parish Council
Michelle Sinclair Brown Jamaica Fire Brigade
Dwayne Bailey Office of Disaster Preparedness & Emergency Mgmt.
Debbie Pryce St. Mary Parish Council
Kavell Clarke Portmore Municipal Council
Hyacinth Morris Hanover Parish Council
Kadia Wedderburn RADA Head Office
Douglas Webster
Ministry of Industry, Investment & Commerce - SD,
Policy
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July 30, 2015 Name Ministry/Department/Agency
Charmaine Williams Clarendon Parish Council
Amalea Jones JAMPRO
Camille Ashman Houses of Parliament
Wayne Robertson MLG&CD - SD, Corporate Service
Karelle McCormack Jamaica 4-H clubs
Karl Simpson JARD
Tracey Reynolds St. Elizabeth Parish Council
Sandra Brooks Malcolm RADA, St. Elizabeth
Gerald Lee St.James Parish Council
Suzette Byran St. Thomas Parish Council
Steve Anderson MLG&CD – IT
Rick Harris MIIC – IT
Dwayne Cargill Office of the Cabinet
Claudette Thomas JARD
Patricia Lindsay Office of the Cabinet
Peter Mazikana RIM Expert
Dionne Blair Office of the Prime Minister
Claudette Allen Ministry of Agriculture & Fishery – DDIAS
O'brian Nelson Trelawny Parish Council
Diana Sutheford St. Elizabeth Parish Council
Paul Scarlett National Solid Waste Mgmt. Authority
Hugh Jones Companies Office of Jamaica
Rolecia Kennedy Westmoreland Parish Council
Shaunakay Stirling
Reader Ministry of Agriculture & Fishery – IT
Marvalyn Pitter Portland Parish Council
Ketanya Laig MIIC – DDIAS
Violet Haughen Kingston & St. Andrew Corporation
114 | P a g e
July 31, 2015 Name Ministry/Department/Agency
Tracey-Ann Darmand Dunn Post and Telecommunications Department
Sharon Dunkley Water Resources Authority
Nova McLeod MIND
Kadian Reid
Ministry of Water, Land, Environment & Climate
Change
Owen McKnight Auditor General's Department
Dorothy Hansel Forestry Department
Carol Duncan Jamaica Defence Force
Jerome Mckenzie MWLECC – IT
Ceila Stephens Port Authority of Jamaica
Peter Mazikana K2- Techtop
Kay-Ann Miller National Environment and Planning Agency
Rose Thomas Ministry of Transport, Housing & Works - DDIAS
Sandra Braimbridge Office of the Prime Minister – DDIAS
Annmarie Dobson Ministry of Labour & Social Security - DDIAS
Renardo White MLSS
Annmarie Jordan Transport Authority of Jamaica
Karl Simpson JARD
Pepeta Heslop Jamaica Bauxite Institute
Devon Sterling MTWH – IT
Lisa Richards Women's Centre of Jamaica Foundation
Kadian Chin MWLECC
Shernett Roberts Office of the Cabinet
Claudette Thomas JARD
Franklin Rodgers
Ministry of Science, Technology, Energy & Mining
– IT
Susan Gongasingh Island Traffic Autority
Jacqueline McGibbon Office of the Cabinet – DDIAS
Desmond Montgomery Office of the Prime Minister – IT
Leshne Mae Ministry of Foreign Affairs & Foreign Trade - IT
Marion Edward MFAFT – DDIAS
Anelrey Villiers Institute Of Sports
Kathy Chambers Adman MSTEM - Senior Director, HRM
Anette Reid MSTEM - DDIAS
115 | P a g e
July 31, 2015 Name Ministry/Department/Agency
Sandra Wight
Office Of the Cabinet - Senior Director, Corporate
Affairs
Johanthan Innerarity Office of the Cabinet – IT
Dwayne Cargill Office of the Cabinet
Dionne Blair Office of the Prime Minister
Patricia Lindsay Office of the Cabinet
Paulette Smith Public Broadcasting Corporation of Jamaica
Johanthan Gilzeane E-Learning Jamaica Co. Limited
Stephen Innerarity Jamaica Archives
Rohan McCalla Office of Utilities Regulation
Henquia White Office of the Cabinet
Jacqueline Lynch-Stewart Office of the Prime Minister - SD, Administration